Fear of Missing Out Mobile Phone Dependency and Entrapment in Undergraduate Students

Man-Tak
Leung
Lee-Ming Tan Editors
Applied
Psychology
Readings
Selected Papers from Singapore
Conference on Applied Psychology, 2017
Applied Psychology Readings
Man-Tak Leung Lee-Ming Tan
•
Editors
Applied Psychology
Readings
Selected Papers from Singapore Conference
on Applied Psychology, 2017
123
Editors
Man-Tak Leung Lee-Ming Tan
Department of Counselling and Psychology East Asia Research
Hong Kong Shue Yan University Singapore
North Point Singapore
Hong Kong
ISBN 978-981-10-8033-3 ISBN 978-981-10-8034-0 (eBook)

https://doi.org/10.1007/978-981-10-8034-0
Library of Congress Control Number: 2017963864
© Springer Nature Singapore Pte Ltd. 2018

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Preface
2017 Singapore Conference on Applied Psychology (SCAP 2017), organized by

East Asia Research and supported by the Hong Kong Shue Yan University and
Singapore University of Technology was held on June 29–30, 2017 at Holiday Inn
Singapore Atrium.
The Special theme for SCAP 2017 was ‘Connecting Theory to Practice’. The
annual SCAP conference series organised by East Asia Research are major inter-
national events aimed at supporting the Applied Psychology and Human Resource
communities in Asia. Psychologists, healthcare professionals, academicians and
researchers from all fields of applications get to meet, network and learn here.
The programme consisted of an opening speech by the conference chair,
Dr. Leung, Man-tak Mike, Hong Kong Shue Yan University and two and a half
hour plenary lectures by Dr. Yow Wei Quin and Dr. Denise Dillon. There are also
three parallel sessions of 44 oral presentations (20 min each) and 14 poster pre-
sentations. A total of 120 registered delegates from the following countries par-
ticipated in SCAP 2017: Australia, Hong Kong, India, Indonesia, Japan, Korea,
Kuwait, Malaysia, Philippines, Poland, Russia, Singapore, Taiwan, Thailand,
Turkey and United Kingdom. Participants were invited to submit papers to the
present volume. We wish to thank Dr. Leung, Man-tak Mike from Hong Kong Shue
Yan University, SCAP 2017 Conference Chair, for coordinating the reviewing
of the submitted papers.
East Asia Research (EAR)

Established in Singapore in 2015, East Asia Research (EAR) envisions to be the
gateway to improving lives and enhancing productivity in Asia through promoting
cross-geographical exchange of ideas and knowledge in various faculties. This will
be achieved through the dissemination of knowledge from the Asia-focused
research conferences and publications by EAR.
EAR academic conferences provide a meaningful platform for researchers,
post-graduates, academicians, and industry practitioners to share unique insights
and drive innovation. This is a great opportunity for expanding contact networks
beyond a singular field and kick-starting a strategic collaboration. Such partnership
v
vi Preface
can bridge the resources and expertise of multiple disciplines to spearhead pioneer
movements, giving rise to breakthroughs in long-standing issues.
The present volume embraces various research topics in applied psychology of
music and marketing, health and community psychology, psychotherapy, cyber-
netic psychology, sport psychology, psychology of gambling addiction, social and
personality psychology, cognitive psychology, parenting, school psychology,
educational development psychology, motivation and emotion, industrial and
organizational psychology, psychometrics and their cross overs. These papers will
serve as supplementary readings and references for applied psychologists in doing
their research.
North Point, Hong Kong Man-Tak Leung

Singapore, Singapore Lee-Ming Tan
SCAP Advisory Board
Conference Chair
Dr. Leung, Man-tak Mike, Department of Counselling and Psychology, Hong Kong
Shue Yan University
Committee Members
Dr. W. Quin Yow, Ph.D., Director, Language and Social Cognition Lab, Assistant
Professor (Psychology), Singapore University of Technology and Design
Dr. Zhou, Dehui Ruth, Department of Counselling and Psychology, Hong Kong
Shue Yan University
Dr. Ho, Sin-Wan Bianca, Department of Counselling and Psychology, Hong Kong
Shue Yan University
Dr. Tan Jing Hee, Executive Director & Chairman of its Academic Board of East
Asia Institute of Management
Dr. Denise Dillon, Head of Academic Group Psychology and Education, James
Cook University (JCU) Singapore
vii
viii SCAP Advisory Board
Conference Organiser
East Asia Research
Conference Sponsors
Contents
Musical Accompaniment as a Factor of Psychological Effectiveness

of Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 1
Natalia V. Antonova and Vladislav Gorbov
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
2 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Trauma Amongst TV News Crews: The Protective Function
of Crew Solidarity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........ 21
Jasmine B. MacDonald and Rachael Fox
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3 Findings and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4 General Discussion and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . 35
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Fear of Missing Out, Mobile Phone Dependency and Entrapment
in Undergraduate Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 39
Ananya Upreti and Priyanka Musalay
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3 Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
4 Statistical Analysis of Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
5 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
6 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
ix
x Contents
Re-evaluation of the Factor Structure of Motivations of Marathoners

Scales (MOMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 57
I. T. Heazlewood, J. Walsh and M. Climstein
1 Paper Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
2 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
The Diagnostic Criteria of Gambling Disorder of DSM-5 in Chinese
Culture: By Confirmatory Factor Analysis (CFA) and Item Response
Theory (IRT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 73
Wing-Yip Chui, Shu-Kam Lee, Yuk-Lan Mok and Chun-Kei Tsang
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2 Current Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
3 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4 Result . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
5 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
6 Conclusion and Implication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
7 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Locus of Control and Sense of Happiness: A Mediating Role
of Self-esteem? . . . . . . . . . . . . . . . . . . . . . . . ..................... 87
Ivanna Shubina
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
2 Relationship Between the Basic Constructs . . . . . . . . . . . . . . . . . . . . . 88
3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
5 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Factors That Influence the Training Transfer and Maintenance
of Conflict Resolution Programs of Healthcare Training and
Development Units: A Retrospective Study . . . . . . . . . . . . . . . . . . . . . . 103
Sonya Vandergoot, Aspa Sarris and Neil Kirby
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Contents xi
An Assessment of the Sociocultural Evolution Among Selected Filipino

Stay-at-Home Fathers (SAHFs): “Basis for Sustainable Plan” . . . . . . . . 123
Jonathan I. Arante
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
5 Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Two Moms in a Home: Lived Experiences of Children
with Same-Sex Parents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Lorita Ramirez Mendoza
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
3 Findings and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
Reflections on the Therapeutic Journey: Uncovering the Layers . . . . . . 165
Divya Prasad, Anjali Gupta and Shabari Dutta
1 Therapists’ Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
2 Patient Reflection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
3 Caregivers’ Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
4 “Other” Dilemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Self-Talk and Autonomy on Well-Structured Problem-Solving . . . . . . . 173
Yuen Hung Katie Lam and Ruth De-Hui Zhou
1 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
3 Result . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
5 Implication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
6 Limitations and Future Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
School Adjustment for Hong Kong Undergraduates: The Correlation
Among Parental Acceptance-Rejection, Achievement Emotion,
Academic Achievement and Self-esteem . . . . . . . . . . . . . . . . . . . . . . . . . 193
Yuen-Man Cheung and Man-Tak Leung
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
2 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
4 Path Analysis of Maternal Acceptance-Rejection, School Adjustment
and Achievement Emotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
xii Contents
5 Path Analysis of Paternal Acceptance-Rejection, School Adjustment

and Achievement Emotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
6 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Theoretical Components of Workplace Safety Climate
and Their Implications for Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
Cassandra Heffernan, Julia Harries and Neil Kirby
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
Interaction of Psychological Contract Violation and Emotional
Labour: Recovery of Organizational Trust and Job Satisfaction . . . . . . 239
Noriko Okabe
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
2 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
4 Discussion and Practical Implications . . . . . . . . . . . . . . . . . . . . . . . . . 256
5 Limitation and Future Research Direction . . . . . . . . . . . . . . . . . . . . . . 257
6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Translating into Practice the Recommendations of a Safety Climate
Theory-Based Evaluation of Services Provided by Disability Support
Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
Julia Harries, Jerry Ford and Neil Kirby
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
Ups and Downs as Indonesian College Students: Risk and Protective
Factors for Psychological Distress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
Dra. Sugiarti, Lavenda Geshica, Dito A. Prabowo, Ade Rachmawati,
Anindita Alkarisya and Vira A. Mulyaningrum
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
2 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
Contents xiii
3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
Parental Support to Develop Entrepreneurial Characteristics
in Teenagers: Views on Self and Spouse . . . . . . . . . . . . . . . . . . . . . . . . 295
Jenny Lukito Setiawan
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
3 Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
4 Implications and Limitations of the Study . . . . . . . . . . . . . . . . . . . . . . 302
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
Imaging Capability, Absorption, Anxiety, Positive and Negative
Affect: A Guided Imagery Intervention . . . . . . . . . . . . . . . . . . . . . . . . . 305
Shanmukha Priya Vemu and Geeta Sunkarapalli
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
2 Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
3 Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
4 Intervention Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
5 Statistical Analysis of the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
6 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
7 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322
How Conceptual Metaphors Make Political Iconography:
A Focus Group Discussion on the Psychological Aspects . . . . . . . . . . . . 325
Vishaka Venkat and Vinod Balakrishnan
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
2 Metaphorical Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
3 Political Metaphor and Cognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329
4 Historical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
5 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
6 Focus Group Discussion—Analysis of Cartoons . . . . . . . . . . . . . . . . . 332
7 Quantitative Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
8 Colonial Framework of Conceptual Metaphors . . . . . . . . . . . . . . . . . . 342
9 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
About the Editors
Dr. Leung Man-Tak Mike is currently (August, 2017) an Assistant Professor of

Counselling and Psychology at the Hong Kong Shue Yan University. Dr. Leung
obtained his Ph.D. in Educational Psychology from the Chinese University of Hong
Kong, three Master Degrees from Hong Kong University in Educational Assessment
(M.Ed.), Applied Statistics (M.Soc.Sc), and Information Technology in Education
(M.Sc.) respectively. His research embraced undergraduates and high school stu-
dents’ achievement emotions, achievement goals, social achievement goals,
achievement motives related with their study processes, learning strategies and
self-regulated learning with various antecedents such as personality traits, ennea-
gram, attachment styles, sense of school belonging, cyber-informatics addictive
behaviour, classroom climate, action and control belief, eastern and western parental
styles, Chinese values, motivational beliefs, epistemological belief in ability, implicit
belief in intelligence, self-construal, self-efficacy, self-enhancement and academic
self-concepts leading to subsequent achievement outcomes. He had presented not less
than 50 conference papers in various international conferences as well as local con-
ferences held in Australia, New Zealand, Hawaii, Singapore, Japan, Malaysia,
Mainland China and Hong Kong. Dr. Leung had published Books and academic
papers in International Peer-reviewed Journals, Book Chapters, Conference
Proceedings, Theses, Dissertations and Consulting Reports and were awarded
Distinguished Paper Award in ISEP 2013, Best Student Paper Award in ACAP 2014,
ACAP 2015 and SCAP 2016 respectively. He adores Jack-Russell Terriers, enjoys
travelling and taking photos, listens to musics and enjoys doing research and
supervision of students’ research projects.
Mr. Anthony Tan Lee-Ming is the founder of East Asia Research and he obtained
his Master of Applied Finance from The University of Adelaide. He is deeply
interested in how humans function and react with each other. An insight into how
people’s minds think and how they work together is invaluable in just about every
field. Outside of work, Anthony Tan enjoys outdoor activities and the occasional
computer game.
xv
Musical Accompaniment as a Factor
of Psychological Effectiveness
of Advertising
Natalia V. Antonova and Vladislav Gorbov
Abstract The purpose is to investigate the influence of three components of the

musical accompaniment of advertising (dynamic range (DR), volume, and tempo)
on its psychological effectiveness. The psychological effectiveness of advertising is
understood according to the AIDA model. The study involved 296 people aged
17–40 years. An intergroup experimental study was conducted. Respondents were
shown the advertising, in which the parameters of musical accompaniment were
varied: dynamic range of musical accompaniment, volume level, and tempo. To
measure the level of psychological effectiveness of advertising, a questionnaire was
elaborated. The data were analyzed using ANCOVA covariance analysis and
Mann–Whitney U test. The results showed the following relationships: (1) there is
an influence of DR on the overall effectiveness of advertising, attention and interest,
as well as the desire to purchase advertised goods; (2) there were no influence of
volume on attention, but the effect of volume on the emotions was observed, as well
as the combined effect of volume and dynamic range; (3) the hypothesis about the
influence of the music tempo on the effectiveness of the advertising effect was
partially confirmed: the rate only exerts its influence together with other factors;
(4) the assumed influence of the side variables (familiar musical composition
and familiar advertising) on the indicators of the effectiveness of advertising turned
out to be significant. Results can be used in the development of promotional
products.
N. V. Antonova (&)
Department of Organizational Psychology, National Research University
Higher School of Economics, Moscow, Russia
e-mail: nvantonova@hse.ru; nvantonova13@gmail.com
URL: http://www.hse.ru
V. Gorbov
National Research University Higher School of Economics, Moscow, Russia
e-mail: vlad.hamp@gmail.com
URL: http://www.hse.ru
© Springer Nature Singapore Pte Ltd. 2018 1

M.-T. Leung and L.-M. Tan (eds.), Applied Psychology Readings,
https://doi.org/10.1007/978-981-10-8034-0_1
2 N. V. Antonova and V. Gorbov

Keywords Advertising Psychological effectiveness of advertising

Musical accompaniment of advertising Dynamic range (DR) Loudness

Volume Tempo
1 Introduction
Advertising was originally created in order to increase sales of any products. The
music accompaniment in advertising videos undoubtedly has a powerful impact on
people’s mental processes, because the information that is delivered through music
is perceived affectively, and not critically. Accordingly, music can increase the
effectiveness of advertising.
Despite the importance of musical choice in advertising, the research in this area
is not sufficiently developed and sometimes contradictory:
– There are contradictions between the research data on the loudness of music in
the 1960s, in modern research and objective reality. The influence of the
loudness of compositions on the effectiveness of advertising has not been
studied in psychology.
– In psychological studies, only the concept of “loudness of music” was used, but
this phenomenon can be interpreted in more than 20 different definitions.
– The impact of the tempo of music on cognitive processes is a poorly studied area
in the context of both consumer behavior and advertising impact. It is only
known that tempo affects the behavioral reactions and the speed of the memory
processes.
Mainly, investigations are focused on the influence of the presence or absence of
music in advertising on the effectiveness of the advertising, as well as the influence
of some specific components of the music (tempo, timbre, loudness, tonality, and
genre) on consumer behavior. Some investigations are devoted to the influence of
advertising in general (without a musical aspect) on mental processes. Therefore, it
is necessary to systematize the data of existing psychological and marketing
research on these issues and conduct further empirical verification.
1.1 Psychological Effectiveness of Advertising and Its

Measurement
Psychological effectiveness of advertising is determined by the degree of influence

on the mental processes of consumers. This type of effectiveness is characterized by
the number of consumers involved, the degree of attraction of their attention, as
well as the depth of impression that remains in the memory of recipients of
advertising.
Musical Accompaniment as a Factor of Psychological … 3
According to Lebedev, “psychologically effective advertising provides the

consumer the opportunity to become an advertiser himself, to use the acquired
goods in order to socially stand out, to attract attention, to get approval from others,
to have a high social evaluation, to preserve and thereby maintain a sense of
personal dignity” (Lebedev-Lubimov, 2002, p. 20).
To analyze the psychological effectiveness of the advertising impact, an attitudes
model is usually used that includes the following components:
– the cognitive component: the impact on cognitive processes, including the
formation of knowledge about the product, memorizing the product, under-
standing its advantages;
– the affective component: the impact on the emotional sphere, the excitation of
positive emotions, and attracting to the product;
– the behavioral component: the desire to buy the product and purchase; it is
related to the actualization of the relevant motives and needs; in connection with
this, the motivational component (Kupreychenko, 2008) is often additionally
identified.
When advertising is created, cognitive, affective, and behavioral components
must be harmonized and balanced to ensure that advertising is effective. For
example, if advertising is overloaded with information about the product, it can
cause both cognitive and emotional oversaturation in the recipient. If advertising
causes too strong emotions, then it negatively affects the consumer’s behavior, as he
will not have the desire to purchase goods. Suggestive component should not be
explicit in advertising. Thus, when creating an effective advertising, it is necessary
to take into account all the components and their consistency among themselves, as
well as to what mental processes are affected by this advertisement.
In assessing the psychological effectiveness of advertising exposure, different
scales and models are used. One of the most popular models of advertising impact
is the AIDA (AIMDA) model, in which the impact of advertising is understood as a
consistent impact on the cognitive and motivational processes of the individual:
attracting attention (A), generating interest (I), arousing desire (D) based on actu-
alization, a certain motivation (M), and finally, the action caused by this desire—
purchase (A). On the basis of this model, various scales for assessing psychological
effectiveness (5-rank and 6-rank scale) have been developed, but they are intended
primarily for marketing research purposes and do not allow to conduct psycho-
logical analysis of effectiveness.
1.2 Music and Psychological Effectiveness of Advertising
Effective advertising should be able to attract consumer’s attention, and then keep
it. Music plays a significant role in this process, as it is able to distinguish the
advertised product from a number of competing ones. The impact of music on
emotions has also been studied by researchers. Zajonc (1968) was proved that
people like any object more if they have seen it before. People usually tend to
interpret this phenomenon with those positive qualities that they endowed with the
object. This effect was called the “familiarity effect” (or the Zajonc effect). The
Zajonc effect is also observed in music: a person experiences positive emotions if
he/she hears a song that he/she has already heard. In addition, when a person hears
familiar music, the parts of the brain that are responsible for emotions become more
active, regardless of whether they like it or not (Pereira et al., 2011).
However, not only the Zajonc effect affects the emotions caused by music. The
emotional impact of music is also achieved through the repeatability of its com-
ponents. Diana Deutsch in 1995 opened a phenomenon called “Speech-to-song
effect.” Its meaning lies in the fact that with repeated looping repetition of any part
of the text by a speaker, a person begins to perceive speech as singing. This is due
to the fact that when repeating the same passage of text a person begins to pay
attention not to the meaning of what was said, but to the rhythm and height of the
tone of words (Deutsch, Lapidis, & Henthorn, 2008). The so-called semantic sat-
uration effect is similar, when a word repeated many times loses its meaning. Thus,
listening to repeating fragments in a song, a person pays attention to the nuances
and expressive elements of music.
Further studies have shown that music without repetition is perceived by people
worse. Elizabeth Margulis in her study invited students without musical education
to listen to the excerpts of composers, notable for the lack of repeating elements in
their compositions: Luciano Berio and Elliott Carter. One group of subjects
reproduced the original passages and the other group changed, with repeated
fragments. The results of this experiment showed that the subjects preferred the
fragments with repeating elements; in addition, respondents who listened to the
original passages perceived them as unnatural (Margulis, 2013).
The influence of music on memory can be enormous. In the last twenty years, a
phenomenon known to many people as the “earworm (brainworm) phenomenon”
has become known. It consists in the fact that, regardless of the genre, the song,
melody or piece of music, that was recently listened to by a person (willingly or
unwillingly) is repeated again and again. It seems to the person that the song is
“stuck in the head.”
The first to consider the “earworm phenomenon” was the American psychologist
James Jay Kellaris. In 2001, he introduced the concept of “cognitive itching,”
comparing it with the sensation that a person experiences when his skin itches.
According to the researcher, itchy skin can motivate a person to scratch and relieve
discomfort, but causing a cycle of repeated scratching. In the same way, the only
way to eliminate “cognitive itching” is a mental repeating of a stuck melody that
only exacerbates the situation by launching a cycle of involuntary repeat of the
melody (Kellaris, 2003, p. 66). This process is responsible for the auditory zone of
the cerebral cortex, which is activated when listening to music and is reactivated
when a person represents in his head the sound of just heard music (Kellaris, 2001,
2003).
Further studies of the effect of music on memory have shown that the brain tends
to fill in missing information when a piece of familiar music abruptly and suddenly
interrupts. This fact was studied in the experiment of scientists from Dartmouth
College. At the moment when the researchers interrupted a familiar song for the
respondents, the MRI scanner registered how the auditory zone of the brain con-
tinued to “sing along” the missing fragment of the song. If the musical composition
was unfamiliar to listeners, this phenomenon was not observed (Kraemer, Macrae,
Green, & Kelly, 2005).
Thus, though the “Earworm phenomenon” is currently not sufficiently explored,
we see that music can have a powerful effect on human memory. This fact is used
by advertising specialists who insert in the TV or radio advertising simple melodies
that can cause this phenomenon in the audience. Thus, the memorability of the
advertised products increases, and communication between consumers is enhanced,
which provides the transmission of a “stuck” song and of an advertising message as
well. Also, positive associations with the product are strengthened, and conse-
quently, loyalty to the advertised product is ensured.
Over the past half-century, numerous studies of the influence of music on
consumers have been conducted. A classic study in this field is the study of Gerald
Horn, conducted in 1982. The researcher studied the influence of background music
on the psychological effectiveness of advertising. He found that pleasant and
unpleasant background music, which sounds in the commercial, is associated with
the advertised product. It was revealed that the product, which is advertised
accompanied by unpleasant music, is perceived by consumers as unnecessary and
undesirable (Gorn, 1982).
Since the impact on consumer behavior and advertising impact have similar
mechanisms, we will review existing research on the influence of specific music
components on consumer behavior and advertising impact.
1.3 Loudness of Music
The influence of the loudness of music on purchasing power was studied by sci-
entists from the sixties of the twentieth century. In 1966, Smith and Curnow
experimentally revealed the fact that under the influence of loud music playing in
the store, buyers were inclined to spend less time choosing a product than under the
influence of quiet music. Despite this fact, the decrease in sales of this store did not
follow (Smith, & Curnow, 1966).
There is a very interesting phenomenon observed in the music industry as a
“loudness war,” which affects indirectly both consumer behavior and advertising.
The essence of this phenomenon, observed in broadcasting and in digital editions of
albums (on CDs, on DVDs and sold on the Internet), is that musicians, producers
and record companies tend to increase the volume of their compositions to make the
sound louder, than competitors have.
The history of the “war of loudnesses” dates back to the 1960s, when it was
revealed that louder music attracted more attention from the audience. From an
evolutionary point of view, this can be explained by the fact that louder sounds
always received increased attention in order to survive. As a result, music producers
have decided to add volume to the released compositions in order to increase
competitiveness. However, at that time, the music was produced on vinyl records,
which, due to technical features, did not allow increasing the volume of compo-
sitions. Later, with the invention of CDs, producers and record companies were able
to significantly increase the volume of produced music (Vickers, 2010).The psy-
chological effects of the “war of loudness” have not yet been investigated.
1.4 Genre of Music
A number of studies on consumer behavior have shown a link between the music
genre and the decision to purchase. A study of Areni and Kim, conducted in 1993 in
a wine shop, showed that when a classical music was playing in the hall, there was a
general increase in consumer activity, compared to the period when pop music
(“top 40”) was playing. It is interesting that under the given conditions, neither the
time spent by shoppers in the store nor the sales volume increased, that is, classical
music influenced only the decision of consumers to buy more expensive wines
(Areni, & Kim, 1993). The results of this study confirm the ideas of McInnis, who
argued that conviction is reinforced when the genre of music suits the context in
which it plays (MacInnis, & Park, 1991), and the results of Yalch’s study,
according to which classical music is associated with more expensive goods (Yalch,
& Spagenberg, 1990).
1.5 Music Tempo
In 1982, Ronald Milliman explored the impact of the tempo of music on shoppers’
behavior in stores. According to the results of this study, the different rate of music
played through hands-free communication in the store affects the speed of move-
ment of buyers and the number of purchases made by them. That is, at a slow tempo
of music, buyers in the store moved slower, they chose the product significantly
longer, buying more units of goods, while when the music was at a rapid tempo,
there was a reverse situation (Milliman, 1982).
In 2006, Steve Oakes and Adrian North studied the impact of the tempo and
timbre of background music in radio advertising on the affective response of
listeners. Two different experiments were conducted, one of which studied the
influence of the tempo and the other on the timbre of the background music of radio
advertising on the affective response of listeners. According to the results of the first
experiment, the use of music at a slow tempo significantly increased the
memorability of the content of the commercial by respondents, in comparison with

fast music. The presence of music (both at a fast and at a slow tempo) significantly
reduces the level of remembering the content of advertising. According to the
results of the second experiment, there is a significant positive relationship between
the congruence of the timbre of music with the memorability of the content of
advertising and the affective response to it (Oakes, & North, 2006).
1.6 Popularity of Music
Popular music is “all favorite” music for “ordinary people,” which has a wide
impact and attractiveness, but usually for a certain period of time (Shuker, 1994).
David Allan in 2006 explored the influence of popular music in advertising on
the processing of advertising messages. He conducted the experiment on 111
respondents, aged from 18 to 24 years, who were divided into four groups. In the
control group, the respondents did not listen to music, and in the experimental
groups, the song that sounded in the advertisement was either with the original text,
or with a modified text, or instrumental (without text). The study selected four
songs from “top 40” and four popular brands (Kodak, Ikea, Heinz, and Sony).
Further, the questionnaire measured the attention caused by the advertising message
and the memorability of the advertised brand. The results of this study showed that
songs in which vocals are present, original or modified, are more effective incen-
tives for advertising impact on attention and memory than instrumental songs or
total absence of music. It is worth noting that the original text affects the listener
better than the changed text (Allan, 2006).
In turn, Michelle Roehm considered the influence of the version of the popular
song (instrumental or with the original vocal) on memorability of the advertisement,
with the introduction of such parameter as “acquaintance of the song” for the
person. As a result of the research, it was concluded that if a person is familiar with
the song, then the instrumental version is more conducive to memorizing the
advertisement than the version with the original vocal. Conversely, for people who
are not familiar with the song, the more effective for remembering advertising is the
original version, not the instrumental one. The author explains this result by the fact
that a person familiar with the song, when hearing the instrumental version of it, is
inclined to sing along with it and thereby to generate texts that carry an advertising
message. And “singing” the text of a well-known song promotes the memorability
of the content of the advertisement, in contrast to listening to the song with the
original text. At the same time, a person who is not familiar with the song cannot
generate the text in his imagination, so he needs a version with vocals to memorize
the content of the alleged advertising message (Roehm, 2001).
So, summing up all of the above, we can conclude that the musical accompa-
niment does influence the effectiveness of the advertising impact. However,
research focuses on individual parameters of music accompaniment, such as tempo,
genre, and loudness, but not on the impact of different parameters in their
combination. The influence of the dynamic range on the effectiveness of advertising

is almost not investigated. Based on the theoretical analysis, we have chosen for our
study the following parameters of the musical accompaniment: dynamic range,
volume, and tempo.
2 Methodology
The purpose is to investigate the influence of three components of the musical

accompaniment of advertising (dynamic range (DR), volume, and tempo) on psy-
chological effectiveness of advertising. The psychological effectiveness of adver-
tising is understood according to the AIDA model: the effectiveness of attracting
attention, the interest caused by advertising, the memorability of both the clip itself
and the advertised product, the power of emotions after viewing, and the willing-
ness to purchase the advertised product.
Hypotheses:
(1) Advertising with musical accompaniment having high dynamic range is more
effective in all components than advertising, which uses music with a low
dynamic range.
(2) The higher the volume of the musical composition in the advertising is, the
higher is the effectiveness of the advertising impact in terms of “attracting
attention” and “emotions.”
(3) The higher the tempo of the musical composition is, the higher is the effec-
tiveness of the advertising impact on the indicators “attracting attention,”
“interest,” and “the power of emotions.”
(4) Additional hypothesis: the side variables, such as preliminary knowledge of the
musical composition and of the advertising itself, increase the psychological
effectiveness of the advertising.
Sample: The study involved 296 people aged 17–40 years (mean age 19.7 years,
standard deviation = 2.9). All subjects were randomly assigned into 12 experi-
mental groups.
Methods: An intergroup experimental study was conducted. Respondents were
shown the advertising, in which the parameters of musical accompaniment were
varied: dynamic range of musical accompaniment, volume level, and tempo. To
measure the level of psychological effectiveness of advertising, a questionnaire was
elaborated.
Data analysis: ANCOVA covariance analysis, Mann–Whitney U test.
The investigation included the following stages:
1. Preparation of demonstration material. As a demonstration material, a promo-
tional video for the men’s perfume Dior Homme Fragrance was selected, fea-
turing the famous actor Robert Pattinson, directed by Romain Gavras in 2013. In
the original commercial, the song by Led Zeppelin “Whole Lotta Love,”
released in 1969, was used. To reduce the influence of the side variables, instead
of extracting the sound track from the video clip, the digital copies of the
composition in the original edition of 1969 and in the 2007 edition differing
only in the “dynamic range” parameter were found. Then, using the “TT DR
Offline Meter 1.1” program, the dynamic range of both copies of the songs was
measured. The 2007 version was expected to be “louder” than the 1969 version
(less dynamic): the dynamic range was DR8 and DR11, respectively. However,
in order to reflect the current musical trends of a too narrow dynamic range, it
was necessary to further narrow the dynamic range of the 2007 version. As a
“reference,” digital CD-copies of a number of tracks were selected, which were
similar to the given in terms of genre and mood (with DR3–DR6). As a result,
by compressing and limiting the audio track using FL Studio 12 digital sound
workstation, this composition was approximated by the characteristics of the
dynamic range to the reference ones. The dynamic range of the “loud version”
of the composition for the commercial was DR4.
Further, two versions of the song by Led Zeppelin “Whole Lotta Love” with
DR11 and DR4 bands varied in volume with the help of FL Studio 12. The volume
of the composition with a narrow dynamic range was adjusted based on the decibel
meter’s “peaks” of the composition with a wide dynamic range. This procedure was
carried out in order to reach the effect when subjectively to the listener, at the
loudest moments of the song, both versions sounded equally loud. As a result, the
volume of the composition with the DR4 band was reduced by 25%, and then,
the version with the DR11 range was lowered by 25%. It turned out four versions of
the same composition:
• Loud, low dynamic (range DR4, volume 100%)
• Quiet, low dynamic (range DR4, volume 75%)
• Loud, highly dynamic (range DR11, volume 100%)
• Quiet, highly dynamic (range DR11, volume 75%).
Subjectively for the listener, the first version is very loud throughout the com-
position; the second is quieter than the first and equally loud throughout the
composition; the third is quiet in the intro, louder to the chorus; and the fourth is the
quietest.
Next, using the tempo change tools in the FL Studio 12 program, the data for the
four versions varied in tempo. The tone, volume, and dynamic range of all versions
were preserved. As a result, all versions were accelerated by 5% and slowed by 5%.
As a result, the same composition was presented in 12 variations (see Table 1).
Next, the audio tracks were superimposed on the commercial video using Sony
Vegas Pro 13 software. As a result, 12 types of commercials were compiled for the
pilot study.
2. Developing a questionnaire for assessing the psychological effectiveness of
advertising. This technique is based on a seven-point six-rank scale measuring
the effectiveness of advertising: attention, interest, memorability of the
Table 1 Experimental No. of group DR Volume (%) Tempo (%)

groups
1 DR4 100 100
2 DR4 75 100
3 DR11 100 100
4 DR11 75 100
5 DR4 100 95
6 DR4 75 95
7 DR11 100 95
8 DR11 75 95
9 DR4 100 105
10 DR4 75 105
11 DR11 100 105
12 DR11 75 105
commercial, memorability of its content (advertised goods), emotional attitude

to advertising, and the desire to buy the advertised product. Respondents are
encouraged to answer questions that measure these video clip indicators by
placing their response on a scale of −3 to +3.
3. Carrying out a pilot survey and an expert interview.
4. Carrying out the basic research. The entire sample was divided into 12 exper-
imental groups. Immediately before the experimental test, the researcher read
out the instructions for the test subjects. Further, depending on the group, the
subjects were presented with one of 12 videos on the screen. Variations of music
in the commercial for DR, volume and tempo, and group numbers are shown in
Table 1.
3 Results
Since an intergroup multifactor experiment was conducted (there are several levels
in each factor), in this case, it is expedient to apply the one-dimensional generalized
linear ANCOVA model for each dependent variable.
However, the use of the ANCOVA model imposes two restrictions on the use:
firstly, all dependent variables should be normally distributed in the study groups,
and secondly, the variances in these groups should be equal. In order to check the
normality of the sample distribution in each of the groups, as well as the equality of
group variances, the values of asymmetry and excesses, as well as the standard
deviation of each variable in each of the groups, were counted.
We can see that the values of asymmetry and excesses of each variable do not
exceed 2 modulo; in addition, the standard deviations differ not more than twice.
Consequently, we can assume that the distribution of each of the variables for each
factor is normal. The hypothesis of the equality of the variances of each of the groups
is also confirmed, since in these groups the difference between the lowest and the
highest values of the variance does not exceed five times. The above facts give us the
reason to believe that the ANCOVA method is applicable for this sample.
Further, an ANCOVA covariance analysis with DR, volume, and tempo factors
was performed sequentially with each dependent variable: “attention,” “interest,”
“clip memory,” “memorability,” “emotions,” desire to purchase/recommend the
product, and the general effectiveness of the advertising. As the covariant, the
following variables were chosen: “attitude to the actor from the commercial,”
“attitude to the advertised brand,” “frequency of buying the brand,” and “relation to
the song from advertising.” The answers to the question “To what extent do you
think the song suits the commercial?” were referred to as covariates “congruence of
the song to advertising.” The results of this analysis of each of the dependent
variables are shown in Table 2.
As we see in the table, taking into account all the covariates, the following
factors were significant:
(1) The impact of the dynamic range of the musical composition (DR) on attention
attracted to the video, interest in the video, the desire to purchase/recommend
the product, and accordingly, the overall effectiveness of advertising;
(2) The impact of the volume of the musical composition on the emotions caused
by the video;
(3) The combined effect of DR and the tempo of the musical composition on the
memorability of the products;
(4) The combined effect of the volume and tempo of the musical composition on
the emotions caused by the video;
(5) The combined effect of all three factors (DR, volume, and tempo of the musical
composition) on the memorability of the products.
The following covariates were also significant:
(1) The attitude to the actor from the commercial affects the attention attracted to
the video, the interest to the video, the emotions caused by the video, and the
overall effectiveness of advertising;
(2) Attitude to the advertised brand significantly affects the attention attracted to the
video, interest to the video, memorability of the video, memorability of the
goods, the desire to purchase/recommend the product, as well as the overall
effectiveness of advertising;
(3) The frequency of buying a brand affects the memorability of the goods and the
desire to purchase/recommend a product;
(4) The attitude to the musical composition of the commercial influences the
memorability of the video and the emotions caused by advertising;
(5) The congruence of the song to the advertisement influenced the attention
attracted to the video, the interest to the video, the emotions caused by the
video, the desire to purchase/recommend the product, as well as the overall
effectiveness of advertising.
12
Table 2 Results of the ANCOVA analysis of the effect of three factors and covariates on each of the dependent variables (significance of the F-test)
Attention Interest Memorability of Memorability of Emotions Desire to Efficiency of
advertising product purchase advertising
DR 0.011** 0.005** 0.066 0.691 0.203 0.028** 0.004**
Volume 0.191 0.750 0.137 0.832 0.012** 0.526 0.155
Tempo 0.924 0.933 0.732 0.762 0.257 0.362 0.836
DR + volume 0.862 0.594 0.906 0.976 0.169 0.341 0.750
DR + tempo 0.457 0.438 0.893 0.011** 0.678 0.526 0.535
Volume + tempo 0.243 0.141 0.071 0.714 0.003** 0.454 0.070
DR + volume + tempo 0.954 0.114 0.466 0.026** 0.748 0.268 0.198
Attitude to the actor 0.001** 0.000** 0.155 0.337 0.006** 0.138 0.000**
Attitude to the brand 0.025** 0.040** 0.005** 0.002** 0.612 0.006** 0.000**
Frequency of purchase 0.768 0.720 0.879 0.051** 0.247 0.032** 0.133
Attitude to the song 0.075 0.055 0.009** 0.230 0.013** 0.528 0.082
Congruency of song and 0.000** 0.000** 0.116 0.271 0.000** 0.022** 0.000**
advertising
**p 0.05
N. V. Antonova and V. Gorbov
Let us consider in more detail the effect of each factor on independent variables.
The covariates appearing in the model were estimated at the following values: the
ratio to the actor from the commercial = 4.21; attitude to the advertised brand =
5.11; frequency of buying a brand = 3.09; the relation to a song from advertis-
ing = 5.48; congruency between song and advertising = 5.57.
The significance of each of the variables that differ significantly in the dynamic
range turned out to be higher in the groups with a high dynamic range. Thus, it can
be concluded that more dynamic music in advertising attracts more attention to the
commercial, increases interest, increases the intensity of the desire to purchase the
advertised product (or recommend it to friends), and increases the effectiveness of
advertising in general. The marginal averages (the adjusted averages obtained after
removing all covariant estimates) and the values of the standard variable error by
the “dynamic range” factor are presented in Table 3.
Increasing the volume of music in advertising positively influenced the emotions
caused by the commercial. In groups with standard volume of advertising music in
100%, the marginal mean on the “emotions caused by the video” scale was 5.386
(std error = 0.074), and in groups with volume reduced to 75%, the value was
5.105 (std. error = 0.083).
To analyze interactions between factors, taking covariates into account, we plot
the graphs of the marginal means of the dependent variables (Fig. 1).
In Fig. 1, one can see that with a slowed-down 95% tempo of music used in
advertising, memorability of the product is more pronounced when the dynamic
range of music is small. However, at a standard tempo, the memorability of the
goods drops sharply when the dynamic range of music in advertising is small, and it
increases dramatically when the music is highly dynamic in range. With a further
increase in the tempo up to 105%, the memorability of the goods gradually
decreases for any dynamic range. Thus, the most powerful on the memorability of
the goods was a commercial with a slow tempo and low dynamic range of music
(compare = 5.445), and the least powerful was a video with a fast tempo and a low
DR value (compare = 4.670). The adjusted average values of the variable “mem-
orability of product” and the standard error are presented in Table 4.
Table 3 Estimated marginal means and standard errors of advertising effectiveness variables by
group
DR4 DR11
Attention Mean 5.312 5.652
Standard error 0.094 0.094
Interest Mean 4.544 5.011
Desire to purchase Mean 3.973 4.231
Effectiveness of advertising Mean 4.801 5.064
Fig. 1 Graph of estimated Estimated marginal means

marginal means for the
variable “memorability of DR4
products” according to DR ---- DR11
and tempo
Tempo
Table 4 Estimated marginal DR Tempo (%) Mean Standard error

averages and the standard
error values of the variable DR4 95 5.445 0.241
“recallability of goods” 100 4.778 0.219
according to DR and the 105 4.670 0.235
tempo DR11 95 4.723 0.213
100 5.249 0.221
105 5.146 0.258
From the graph of the estimated marginal means of the variable “emotions
caused by the video” for the “volume” and “tempo” factors (see Fig. 2), it follows
that the expression of positive emotions decreases with the increase in the tempo of
the musical composition in the advertisement if the volume of music is 100%.
When the volume of music is reduced to 75%, then there is a different trend: the
expression of positive emotions caused by the video smoothly decreases with the
increase in tempo from 95 to 100%, but rises sharply with an increase in the rate
from 100 to 105%. It is worth noting that the emotions caused by the clip at 95 and
100% are significantly worse when the volume is reduced to 75% than at a standard
volume of 100%. As soon as the tempo rises to 105%, emotions become more
positive with a volume level of 75% than at 100% volume. In this case, the most
positive were the emotions when watching a commercial with slow music tempo
and with a standard 100% volume (mean = 5.653), and the least positive emotions
were when watching a video with music, in which the volume is reduced to 75%,
and the tempo is standard (mean = 4.892).
Fig. 2 Graph of estimated Estimated marginal means

marginal means for the
variable “emotions caused by Loudness
the roller” by volume and 75%
tempo
------- 100%
Tempo
The adjusted average values of the variable “emotions caused by the video” and
the standard error are presented in Table 5.
The next question for the consideration was the impact of all three factors on the
dependent variable “memorability of product.”
As for the memorability of the product with the standard volume of advertising
music (100%), the graph of the adjusted averages of this variable has, in this case, a
different view (see Fig. 3). At a slower tempo of music (95%), memorability of the
goods is higher when the dynamic range is lower; at a standard tempo, the mem-
orability of the goods is much higher with a high dynamic range of music; and at an
accelerated tempo (105%) of music, the value of memorability is again higher with
a low dynamic range.
On the graph of the marginal means of the variable “memorability of goods,”
varied by factors “DR” and “rate” at a volume of 75% (Fig. 4), the following
dependencies are observed: for a narrow dynamic range of a composition, the
memorability of the product decreases with increasing tempo, and for a wide
Table 5 Estimated marginal Volume (%) Tempo (%) Means Standard error
means and standard errors for
the variable “emotions” by 75 95 4.992 0.141
volume and tempo 100 4.892 0.136
105 5.431 0.155
100 95 5.653 0.127
100 5.349 0.123
105 5.156 0.136
Fig. 3 Graphs of the Estimated marginal means

estimated marginal means for
the variable “memorability of DR4
product” according to DR,
---- DR11
volume, and tempo
(Volume = 100%)
Tempo
dynamic range with increasing tempo, the memorability of the product increases. In
addition, at a rate of 95%, the memorability of the goods is higher with a low
dynamic range, and with the other two values of the tempo, the memorability of the
goods is higher with a high dynamic range.
Thus, the greatest memorability of the goods was in the case when the adver-
tisement was accompanied by accelerated high-dynamic music with a volume
reduced to 75% (mean = 5.650), and the smallest—with accelerated low-dynamic
music with a volume of 75% (mean = 4.420). The estimated marginal means of the
variable “memorability of the product” and the standard error for the interacting
these three factors are presented in Table 6.
Now we would like to consider the possible influence of random factors on the
variables of advertising effectiveness. In this study, random factors were not
included in the one-dimensional generalized linear model of ANCOVA, since the
sample size is insufficient for adequate analysis: the sample is segmented into a
large number of small groups.
The following variables were considered as random factors: “knowledge of the
actor” (the question in the questionnaire: “Do you know the actor who appeared in
the commercial?”), “knowledge of the song” (question in the questionnaire: “Have
you heard the song sounded in the commercial before?”), and “knowledge of
advertising” (question in the questionnaire: “Have you seen this advertisement
before?”). The descriptive statistics for each of the groups are as follows: the greatest
variation was observed in the factor “knowledge of the actor”: from the 296 subjects,
272 people know the actor (91.9%) and only 24 people (8.1%) do not know.
A significant influence was exerted only by two factors: “knowledge of the
song” and “knowledge of advertising.” The factor “knowledge of the song” affects
Fig. 4 Graph of the Estimated marginal means

estimated marginal means for
the variable “memorability of DR4
goods” according to DR, ---- DR11
volume, and tempo
(Volume = 75%)
Tempo
Table 6 Estimated marginal DR Volume Tempo Mean Standard

means and standard errors for (%) (%) error
the variable “memorability of
product” according to DR, DR4 75 95 5.611 0.386
volume, and tempo 100 4.914 0.330
105 4.420 0.376
100 95 5.279 0.291
100 4.642 0.288
105 4.920 0.282
DR11 75 95 4.551 0.285
100 4.986 0.323
105 5.650 0.365
100 95 4.895 0.318
100 5.512 0.301
105 4.642 0.367
the variable “memorability of the goods,” and the factor “knowledge of advertising”
influences the variables “attention,” “interest,” “memorability of the clip,” and the
general variable “advertising effectiveness.” In addition, the “knowledge of the
actor” factor tends to affect the “interest caused by the video” variable (p = 0.05).
After comparing the average values, we can conclude that those who have
already heard the song, that sounds in the commercial, remembered the advertised
product worse (av.v. = 4.84, std. dev. = 1.652) than those who heard song for the
first time (av.v. = 5.24, std. dev. = 1.686).
Table 7 Average values of advertising effectiveness variables and standard deviations, grouped
by the factor “knowledge of advertising”
Did not see the Saw the advertising
advertising before before
Attention Mean 5.26 5.69
Standard 1.324 1.131
deviation
Interest Mean 4.49 5.06
Standard 1.596 1.468
deviation
Memorability of Mean 4.74 5.23
advertising Standard 1.421 1.354
deviation
Effectiveness of Mean 4.7920 5.0556
advertising Standard 0.88487 0.89275
deviation
Knowledge of the commercial has a direct impact on the variables “attention,”

“interest,” “memorability of the video,” and “advertising effectiveness.” The
average values of these variables were higher for those subjects who had previously
seen this video before. These means and standard deviations are presented in
Table 7.
4 Conclusions
1. The hypothesis about the positive impact of the dynamic range (DR) of music
on the effectiveness of the advertising impact and its three indicators were
partially confirmed: there is an influence of DR on the overall effectiveness of
advertising, attention and interest, as well as the desire to purchase advertised
goods. The influence of DR on emotions caused by advertising has not been
revealed.
2. The hypothesis of the influence of music volume on the effectiveness of
advertising was also partially confirmed: there was no influence on attention, but
the effect of volume on the emotions was observed, as well as the combined
effect of volume and dynamic range.
3. The hypothesis about the influence of the music tempo on the effectiveness of
the advertising effect was partially confirmed: the rate only exerts its influence
together with other factors (tempo and DR affect the memorability of the goods;
all three factors together also affect the memorability of the goods; tempo and
volume affect emotions).
4. The assumed influence of the side variables (familiar musical composition and
familiar advertising) on the indicators of the effectiveness of advertising turned
out to be significant.
Results can be used in the development of promotional products.
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Trauma Amongst TV News Crews: The
Protective Function of Crew Solidarity
Jasmine B. MacDonald and Rachael Fox
Abstract Past research indicates that journalists’ ongoing exposure to trauma can
result in psychopathology. However, previous research has not considered whether
trauma exposure and reactions differ depending on whether news workers are
working individually or within a crew. The research question was as follows: What
functional roles do crew relationships play in enhancing individual resilience?
In-depth semi-structured interviews were conducted with 21 TV news camera
operators and reporters. The findings indicate that news workers emphasise the
importance of the relationship amongst crewmembers in times of trauma exposure,
as opposed to their own individual experiences. Working with other crewmembers
simultaneously reduces physical and psychological risks and improves the quality
of the journalistic product. Additionally, experienced news workers serve a vital
mentoring function and also act to shield less experienced news workers from
potentially stressful situations. Crew solidarity functions as a protective factor for
news crewmembers exposed to trauma and other work-related stressors.

Keywords Journalism Trauma Television news Crew solidarity

Reporter Camera operator Interviews News crew Mentoring

Social support Physical risk Psychological stress
1 Introduction
News frequently requires footage of stories relating to fatal car accidents, crime,
murder, suicide, natural disasters, and various other forms of violence and tragedy
within society. Individuals working within the television (TV) news industry find
themselves exposed first-hand to a wide range of potentially traumatic events
J. B. MacDonald (&) R. Fox

School of Psychology, Charles Sturt University, Wagga Wagga, Australia
e-mail: jmacdonald@csu.edu.au
R. Fox
e-mail: rfox@csu.edu.au

https://doi.org/10.1007/978-981-10-8034-0_2
22 J. B. MacDonald and R. Fox
(PTEs) as a result of their daily work. A review article by MacDonald, Hodgins,

and Saliba (2017) found that journalists have PTE exposure prevalence rates as high
as 95%, exceeding rates of exposure reported for general population studies. The
term PTEs acknowledges that not all people respond to circumstances in a uniform
way; some will experience an event as traumatic whilst others will not (Bonanno &
Gupta, 2012; Bonanno, 2005). The nature of trauma responses is therefore best
understood in terms of a continuum based on individual differences, in which some
people will experience little or no symptomology and others will have severe
traumatic responses (Bonanno & Gupta, 2012).
Research spanning the nexus of journalism and psychology indicates that ele-
vated trauma exposure amongst journalist samples is accompanied by elevated
symptoms of post-traumatic stress disorder (PTSD). Prevalence rates of PTSD
amongst journalist samples range from 4.3 to 19.7% (Backholm & Björkqvist,
2012; Dworznik, 2011; Feinstein & Owen, 2002; Hatanaka et al., 2010; Newman,
Simpson, & Handschuh, 2003; Pyevich, Newman, & Daleiden, 2003; Weidmann,
Fehm, & Fydrich, 2008). Other psychological implications associated with jour-
nalistic work include increased levels of depression symptoms (Feinstein, 2013;
Feinstein, Owen, & Blair, 2002), altered world assumptions (Pyevich et al., 2003),
increased levels of burnout (MacDonald, Saliba, Hodgins, & Ovington, 2016), and
substance use (MacDonald, Saliba, & Hodgins, 2016).
The research summarised above is invaluable in its ability to assist researchers,
practitioners, and news organisations to better understand the experiences of indi-
vidual news workers and devise support strategies. However, it appears that no
research to date has considered the extent to which trauma exposure within TV
news workers is collective in nature. The research question addressed in this chapter
is as follows: What functional roles do crew relationships play in enhancing
individual resilience? Specifically, the present research was concerned with whe-
ther TV news workers consider there to be a difference in the impact of covering a
PTE as part of a news crew, as compared to covering a PTE alone. Past research
indicates that increased levels of perceived social support are associated with
post-trauma resilience (Hatanaka et al., 2010; Newman et al., 2003), particularly
when the perceived social support comes from colleagues and supervisors
(Weidman et al., 2008). Therefore, it would be expected that individual news
workers who have the ability to work within a news crew have pre- and peri-trauma
social support that individuals working alone do not have, and therefore, they
would perceive the PTE exposure to be less impactful.
Past research has focused on individual differences and how they impact jour-
nalists’ psychological functioning post-trauma exposure, including age and gender.
However, such factors cannot be as readily or ethically addressed by news
organisations. If working within a crew has a protective function, then news
organisations may have the ability to improve the psychological well-being of their
staff and reduce the costs that may be associated with trauma exposure and psy-
chological distress, such as sick leave and staff turnover.
Trauma Amongst TV News Crews: The Protective … 23
2 Method
2.1 Methodological Framework
This section outlines the theoretical framework from within which the research was
conducted and the data analysed. The present research was informed by social
constructivism (Matthews & Ross, 2010). Essentially, the research aims were
exploratory and emphasised the participants’ subjective experiences of their work
and the associated trauma exposure. From such a perspective, participants’ per-
ceptions and attitudes relating to the research area are prioritised and viewed as
socially constructed.
In terms of the assumptions underlying the data collection and analysis, inter-
pretivism informed the present study (Matthews & Ross, 2010). Research primed
by interpretivist tenets focuses on interpretations and understandings, and permits
the exploration of a range of attitudes and perceptions across participants. This
approach is congruent with social constructivism as it emphasises subjective
experiences and suggests that the data obtained are specific to the context in which
it was collected. Both social constructivism and interpretivism call for data col-
lection methods that are capable of producing data that are rich in depth and detail,
such as in-depth semi-structured interviews (Matthews & Ross, 2010).
Analysis of the data was conducted according to the thematic analysis
(TA) method prescribed by Braun and Clarke (2006). This method of analysis was
adopted because it is systematic and transparent in nature and has been specifically
developed for use within the context of psychological research. Open-ended
questioning and responsive probing were used; equal weight was given to each
section of data in order to identify novel and nuanced findings.1 In this way, the
findings reflect both manifest and latent codes and themes.
2.2 Participants and Sampling
Sampling Criteria. Participants were required to be over 18 years of age, and to be

currently working or to have previously worked as a TV news camera operator or
reporter. By allowing current and past news camera operators and reporters to be
involved, the study was able to explore experiences of people who have for
whatever reason left the job and also to assess potential differences over time in this
constantly developing industry. This latter point is pertinent because participants in
the present research indicated that changes in organisational policies and
1
Participants were not provided standard definitions of relevant terms. Because they were con-
sidered to be domain experts, participants were encouraged to provide their own definitions and
understandings of terms. The author then used probing questions to ensure understanding of the
definitions.
telecommunications have resulted in changes in role responsibilities. It was con-

sidered important to sample both staffers (individuals employed full-time through a
news organisation) and freelancers; increasingly, individuals are pushed towards
freelance work with full-time organisation-based roles becoming more competitive
and lower in number. Participants were also sought from each Australian state and
territory, covering both regional and metropolitan newsrooms in both public and
commercial broadcasters. Considering these criteria, the sampling method adopted
is best characterised as maximum variation purposeful sampling.
Recruitment. In order to recruit participants, contact was made with a range of
journalistic organisations, including unions and representative bodies for both
reporters (and journalists more broadly) and camera operators (and production crew
more broadly). Each of the Australian regional and metropolitan commercial news
networks, as well as the Australian Broadcasting Corporation (ABC) and Special
Broadcasting Service (SBS), was contacted. In addition, journalism and TV pro-
duction departments of various Australian universities were contacted. Each of the
listed outlets was sent information about the research, encouraged to ask questions,
and asked if they might be willing to promote the research to their staff and industry
contacts. These organisations did not play a role in data collection; consequently,
only the first author knew the identities of those interviewed. Social networking
sites were useful in the recruitment phase as a range of profession and role-based
groups and mailing lists are accessible online.
Participants. The overall sample included 21 Australian TV news workers (15
camera operators and 6 reporters). All 15 camera operators that participated were
male, and four of the six reporters were female. Eighteen of the participants were
currently working in the TV news industry, whilst three had worked in the TV news
industry in the past. Thirteen participants were (or had been) employed as a staffer;
the remaining eight participants were working (or had worked) as freelancers. It is
worthwhile noting that before moving into freelance work, a majority of the free-
lancers had experienced working within news organisations, some as staffers, and
some as causal or part-time staff. Participants ranged in age from 25 to 72 years.
The average age was 43.7 years; almost half of the participants recruited were in
their forties (n = 9). Each of the decades covered by the age range was represented
in the sample.
Data collection. Data collection and analysis were carried out concurrently.
In-depth semi-structured interviews were conducted with 21 participants. The
length of the interviews ranged from 1 to 3 h, with an average length of 1.5 h. The
interview schedule contained topics for exploration relating to participants’ expo-
sure to various PTEs, the kind of exposure, psychological impacts of the work, and
perceived differences in exposure as a result of news crew role. Probing questions
varied depending on participant responses and experiences. Questions were posed
in an open-ended fashion to encourage participants to provide insights and novel
comments that the interviewer would not otherwise know to ask about. Interviews
were conducted in a range of ways, including face-to-face, on the phone, and via
Skype. Flexibility in the way interviews were conducted was beneficial to the
research in that it provided access to valuable and experienced individuals who
otherwise might not have participated. It also served to make the research experi-
ence as comfortable and convenient as possible for participants. The nature of news
production means that there was potential for participants to be travelling or have
little time to meet face-to-face.
3 Findings and Discussion
Throughout the interviews, camera operators emphasised the importance of their

relationships with reporters in times of trauma exposure and vice versa. Participants
tended to emphasise the importance of these relationships and working within a
crew, as opposed to their own individual experiences. There was much discussion
relating to the similarities and differences apparent between the two roles and the
protective function of working within a news crew in times of disaster or tragedy
coverage. Two key themes were identified and will be explored in this findings
section. The first theme relates to the protective function of working within a crew.
Specifically, participants indicated that working within a crew as opposed to alone
simultaneously reduces the psychological and physical risks associated with PTE
coverage and improves the quality of the journalistic product they are working
towards. The second theme to be considered concerns the protective function of
working with experienced colleagues. Participants indicated that experienced news
workers serve a vital mentoring function, but also act to shield less experienced
news workers from potentially stressful situations. In this way, experienced news
workers are important assets in the newsroom and in the field.
3.1 Protective Function of Working in a Crew
Participants described a shift that has occurred in TV news production models

meaning that the typical sizes of news crews going into the field are smaller than
they have been in the past. Crews are now most likely to consist of a reporter and
camera operator or, in many instances, only a camera operator; whereas the
traditional crew was made up of four news workers (reporter, camera operator,
producer, and sound recordist). Advances in electronic news-gathering
(ENG) technology have also facilitated the shift towards single-person crews. For
example, ENG cameras are now smaller and have built-in audio capacities that have
reduced the dependence on a second individual to carry and operate external audio
equipment. A number of participants who were veterans of the news industry
indicated that four-person crews are still used in specialised reporting programmes:
We’re talking particularly about [Current Affairs Programmes] which I call in my way of
talking, the Rolls Royce way of making television current affairs, because, to send four
people overseas, you’ve got four air fares, you’ve got to accommodate them, so there are
four hotel rooms. The last year, couple of years, I find [broadcasters] have what they call
video-journalists, and that’s just one person, one person goes out and does the lot … I was
actually very hostile to it, because it was a cost venture. It’s not an artistic or creative
decision, it’s a cost venture. We just don’t want to spend that much money on sending a
crew out to get a story. Bryan
As Bryan’s comments demonstrate, news workers often lament the fact that crews
are reducing in size because of reasons associated with financial cost. Such trends
signify a diminished appreciation of the respective roles of creativity and quality in
the news production process. It is not only the size of crews being sent into the field
that are being contracted, so too are the overall staff numbers in many news
organisations:
In those days, we were two-man crews, cameraman and sound, and now you’re doing
everything on your own … When I was at [National Broadcaster] we had 26 two-man
crews … But basically out of the camera department there were over 50 guys, now they’ve
got six crews, one-man crews, so you’ve now got, on any one day there might be 10
cameramen all up, but six on any one day. So that’s the difference in the pool, you know,
it’s so much smaller. Owen
Both camera operators and reporters in the present study provided resounding
support for working within a crew as opposed to alone. This was the case even in
the wake of discussing potential points of conflict that arise between crewmembers:
We’ve got different skill sets, and different roles to play, while we’re out there but we still
see the same stuff, we still report on the same stuff. Um, and I think that’s probably what, in
the old days bonded us with journos I think, but I don’t believe the bond is there now.
Adam
Working within a crew was considered better than working alone for a range of
pragmatic and social support reasons. Three prominent benefits of working within a
crew were identified and are discussed presently. Specifically, participants felt that
working in a crew reduces psychological stress, reduces physical risk, and improves
the quality of the journalistic product. It seems apparent that the three benefits of
working in a crew as opposed to alone discussed in this section are inextricably
linked. For example, when physical risk is reduced and when the quality of the
work is improved, reduced stress is a likely by-product.
Reduced Psychological Stress. The first perceived benefit of working within a
crew is that it reduces psychological stress. Shared experiences and having social
support readily available serves a protective function for news crews in times of stress.
Direct links were made to increased levels of stress on the job as a result of working in
a smaller crew or independently and thus having less social support around you:
When I first started as a journalist, you had, you know, you went out all day on a story, you
were generally with the same camera crew so you had a chance to you know, shoot the
breeze, talk about stuff, and maybe debrief on stuff, in a kinda informal way, and then you
would come back to the editor, and they’d be “Oh mate, that was terrible” kinda stuff.
Whereas you know, the way we work now is quite different, you know, we do a lot more
remotely, you know, I file half my stories writing them on my phone, you know, we do a lot
more live crosses, where it’s instant, and off you go, so that whole ability to stop and
actually process and debrief as you go, um, is kind of almost gone altogether, so it becomes
much more of a cumulative thing. Brooke
Not surprisingly, social support from personal and professional networks has been
found to be a significant factor in reducing post-trauma distress in a range of
populations, including journalists (for a review, see MacDonald, Hodgins, &
Saliba, 2015), Navy divers (Leffler & Dembert, 1998), firefighters (Regehr, Hill,
Knott, & Sault, 2003), and emergency personnel (Weiss, Marmar, Metzler, &
Ronfeldt, 1995). However, a nuanced finding specific to the present study and the
occupational setting of TV news is that participants emphasised the importance of
having someone to talk to in the car on the way back to the station. Participants
stressed that typically the discussion does not revolve around the emotional impact
of what had been seen. Instead, the primary value of social support in the car after a
story was having the event acknowledged as real and perhaps unusually challenging
by someone who had shared the experience with you or who has been in a similar
situation in the past:
People will talk because, especially journos and camos in cars, talk about this stuff every
day, everyday conversation like, “I’ve been over here”, or “I haven’t done that”, or “I’m
feeling like this is not the right job for me.” Simon
And that’s all it comes down to too, is that, just that, one minute conversation can make all
the difference, you know, and it’s like “Oh yeah, I saw this and this is what happened and
yeah it was bad” and they’ll just go “Oh yeah, that’s similar to what I saw” and one minute,
it’s just done and dusted. Cos people that have never seen it would just, just wouldn’t
understand it. Adam
It is striking just how similar Simon and Adam’s responses are, despite never
working together or knowing one another. In fact, many of the participants echoed
the sentiment that they were wary of discussing their experiences with “outsiders”
and felt that colleagues were better suited to this kind of discussion, as they are
more likely to understand. Keats (2010) also found that photojournalists reported a
preference towards discussing their experiences with colleagues as opposed to
friends or family. This kind of functional support in the workplace is on the decline
as a result of the move towards single-person crews. Additionally, it was not
uncommon for participants in the present study to raise the point that their workload
simply does not allow the opportunity to discuss and reflect upon their shared
experiences in detail. A common phrase employed was “you just get on with it”.
But even some kind of brief acknowledgement of what has happened on scene does
help to reduce a sense of isolation and stress:
Sometimes um, you might just sort of ask the journo if they’re ok, or they might ask you,
you know, if you’re right or whatever but, you might get back and you might feel deflated,
you know, everyone’s sort of doing their normal job, so you kinda just, it’s sort of a sad
thing but you just sort of get on with it, but you do have a little bit of a debrief but you don’t
have a formal one. Just an informal, and it might not be all the time … you might still be on
the camera, it might be late in the afternoon, and you might be like “We gotta get this back
and we gotta put this to air, because we’re going to air in half an hour”. So you might not
have a chance to even worry about it. Cameron
Other research with journalist samples has similarly shown that social support is an
important factor in post-trauma resilience (Hatanaka et al., 2010; Newman et al.,
2003). Weidman et al. (2008) in particular found that social acknowledgement of

exposure to a PTE by colleagues and supervisors was the most significant social
support variable in predicting PTSD symptoms.
Another nuanced finding associated with social support and news work is related
to overseas coverage. Participants in the present study who have experienced
conflict or disaster coverage overseas stated that in these kinds of working condi-
tions the need for social support is magnified. Again, the preferred kind of social
support is not an in-depth discussion of the emotional aspects of the job. Rather,
participants appreciated having someone around to check in with, have everyday
conversations with, and to lighten the mood occasionally with humour:
When you’re on the road overseas um, you don’t have, you’re not just a cameraman, you
know, you’re a producer, you’re everything for the journalist, because you work as a team
and you’re under the pump like, both of you are fatigued and exhausted and hungry and
everything else, you need to, you bounce off each other to keep going … We don’t really
talk about what we saw or anything, we’re just chilling and we don’t say too much but it’s
just I guess having someone there just to talk about normal stuff and you know, whatever,
and then it just winds you down, it takes, it slows the adrenalin down, and then you can
sleep a bit better. Nick
There is enough there for all of everyone to know that you’re in a nasty situation now.
Phones don’t work, you’re surrounded by people, you’re living in some dreadful rat
infested hotel, yeah this is not a pleasant experience, and yeah, it’s great sometimes to be
able to laugh with and say “Wow, what are we doing here? How did we get ourselves into
this situation?” and kind of laugh it off a bit. Bryan
Overall, participants indicated that shared experiences of PTEs or at least the

opportunity to discuss your own experience with like-minded colleagues served a
protective function. This held true even where emotional impact was not the focus
of the social support. Responses from a number of participants indicated that
debriefing emotionally with colleagues was likened to group therapy in a deroga-
tory sense and considered undesirable and inappropriate. Instead, shared humour
and having a familiar person around were two factors considered particularly
helpful. Such attitudes are possibly the result of a traditionally stoic industry
culture.
Reduced Physical Risk. The second perceived benefit of working within a crew
rather than alone is that having colleagues around you reduces the physical risk
associated with covering PTEs:
We come together to survive, there’s that um, it’s, camos [camera operators] survive better
if they’re going out with a journo … You sort of protect each other. Simon
Participants such as Brooke argued that in terms of looking out for each other and
avoiding potential dangers, the bigger the crew the better. Although they conceded
that the ideal situation is for everyone to keep each other’s safety in the forefront of
their minds, in reality there is a range of pragmatic constraints to watching out for
each other in the field, both literally and figuratively. Specifically, there is usually a
lot happening in times of disaster or tragedy coverage that can be distracting and
require careful attention, coupled with the omnipresent pressure of covering the
story better and faster than potential competitors:
Sometimes you might have just a single cameraman, and sometimes you might have a
cameraman with a sound person, that’s more ideal in more um, difficult situations. But um,
that kind of teamwork is really important, and making sure you are sort of looking out for
one another’s um, welfare. But um, you know, you, it’s so easy to get caught up in the
moment and caught up in um, you know, needing to be somewhere to get the story, and the
pressure’s enormous to get that angle and that story and make sure you’ve got that pho-
tograph because you know, if your competitors are putting it online long before you are
then you’re in trouble. So all that kind of stuff has to be weighed up with welfare of crews.
Brooke
An interesting finding was that the aforementioned perceived safety in numbers

even occurred across news organisations. An example of this was that camera
operators covering a story alone from one network would look out for camera
operators from other networks in times of potential danger:
You go and cover a court story, you’re on your own basically. The best you can hope for as
back up is, you know, you might have a cameraman there, a mate from another network or
a couple of photographers or whatever, and they all kinda look after each other. But um,
there’s no institutionalised protection at all [laughing] … When you attend a job, any job,
with other media um, ninety per cent of the time you work very closely together to cover
the story, and help each other out as much as you can, cos you’re all mates. Evan
Similarly, Keats (2010, p. 44) found that newspaper photojournalists emphasised

how “tight-knit” the industry is; “tight-knit included being associated with
like-minded people who, on occasion, offered safety to one another, especially
during foreign work”. Just as there is a perceived sense of safety in covering PTEs
when surrounded by colleagues, a number of participants indicated that they
experienced increased levels of stress in anticipation of covering a PTE alone:
So you would get a call to go and a lot of cases the journo wouldn’t go with you so you
were there by yourself. And what was the traumatic side was how you were going to be
accepted at that particular scene. Mark
Participants such as Mark felt a sense of vulnerability and uncertainty of what might
happen when they arrive on scene and how people such as victims, bystanders, and
emergency personnel would respond to their presence. Although this was not
experienced by a large number of participants, it nonetheless raises an important
element of being called out to a scene: the anxiety prior to going into the field that is
associated with not knowing what to expect. There are a number of potential
contributors that might predispose some news workers to increased anxiety when
covering PTEs alone, including individual differences, previous experiences of
covering trauma or stressful stories, the specific qualities of the PTE to be covered,
and the amount of support available to the news worker.
Improved Journalistic Product. Working in a crew was also considered to be
associated with greater quality of the journalistic output or product. The better the
working relationships between crewmembers, the more likely that they will do their
job well and try to make their colleagues look good. The attitude is that each
crewmember brings unique expertise, and by working together, the story is

developed to a point that would not be likely when working individually:
If you work together, you’re gonna actually have a much stronger story … if you’re
respectful of [the camera operator] and thank them for their work and give them feedback
on the great pictures they’ve shot, they’re going to try harder for you, they’re gonna frame
the piece-to-camera beautifully … You’re gonna have a much weaker story if you think it’s
all about you. So I think it’s really about respecting the expertise of your team, and because
they’ll pull it out for you if you do and together you’ll pull off great work. Emma
It literally is a collaboration, so, you know, if you’ve got the journalist working with a
cameraman who’s investing in the story themselves, and you’ve got an editor who’s
investing in it, then the story comes out much better. Evan
The relationship component of this theme was made evident in Cameron’s

description of how it is different working with a reporter you enjoy working with
compared to working with a reporter you do not respect professionally:
[She is] great you know, I collaborate really well with her, and you know, you take your
time to make something as best you can when you work with someone you wanna work
with you know. Whereas the other one I just do the job, get it done, get it sent and forget
about it. Cameron
Working as a team also opens up avenues for managing difficult interviews and
building rapport with individuals that would otherwise be very difficult or impos-
sible for a sole news worker:
Sometimes you had such a connection with that journalist, you could be in cahoots with
them a little so, if the interview wasn’t going that well, you would break it by saying “I
need to change a battery” or “We need to change a tape” or something, just giving them
both like two minutes to talk offline to try and get the conversation back on track, and for
the journalist to get their trust again … maybe you’d say something funny, like you’d make
a joke or something just to try and help the process along and um, yeah if you were a good
team you would know when to do those things. Will
In a practical sense, it is understandably questionable that one individual is as

capable as a complete crew when it comes to the various tasks involved in news
production (e.g., carrying and optimally operating equipment, engaging an inter-
viewee, planning the overall story and how it will come together, liaising with the
office, and transferring content for broadcast). Beyond the pragmatics, however, this
theme highlights that reporters and camera operators perceive the news production
process as one suited to creativity, collaboration, and reciprocation. Investment by
multiple individuals, each drawing on unique experiences and expertise, is con-
sidered paramount. Research in the area of job satisfaction has reported that col-
laboration between colleagues is an important factor (Konrad, Fletcher, & Carey,
2004). Therefore, working in a crew not only improves the quality of journalistic
product but may also reduce costs associated with turnover resulting in reduced job
satisfaction.
3.2 Protective Function of Working with Experienced

Colleagues
Participants in the present study raised concerns regarding the casualisation of the
industry and the reducing number of staffer positions available within news
organisations. As a result of such trends, many are forced to work in a freelance
context with less support globally, including social support, sick leave, insurance,
etc. Another derivative of this process is that invaluable social capital2 is being
stripped from the newsroom. Even those news workers who do secure staffer
positions no longer have access to senior and knowledgeable reporters and camera
operators in the same way they would have in the past. This means reduced social
support and an inability to learn from others’ experiences. The findings also suggest
that news workers coming into the industry are less likely to assert themselves when
they feel pressure to work in less than ideal circumstances for two reasons: (1) they
may not be aware that they currently have less access to supportive colleagues than
was available in the past and (2) they may fear that they are replaceable, so they do
not question the management. Participants indicated that these changes are con-
cerning because of the myriad of benefits of having experienced news workers in
the organisation. Two such benefits are discussed below: mentoring less experi-
enced colleagues and shielding less experienced colleagues.
Mentoring. Historically, mentoring has played an important role in the news
industry. Despite the increased tendency for reporters in particular to enter the
industry with tertiary qualifications, many participants in the present study held
journalism to be a practical field where you learn on the job. This is perhaps unlike
other professions where a university degree and other qualifications may signal
professional integrity. As such, much emphasis and respect is accredited to those
who are considered to have “been around the block” or to have “earned their
stripes”, so to speak. In the past, news organisations had a more formal system
whereby new staff would work their way up the ranks and develop their profes-
sional skill set through taking direction from seasoned staffers:
You used to start as an assistant cameraman … you worked with a different cameraman
pretty much every week, but you’d learn the good and the bad things … and you’d find
people who you know, worshipped I guess, or looked up to, followed, and tried to copy
their style, where now they don’t have it, and [National Broadcaster] have actually just
gone through this problem, because they sacked everyone, and they’ve got a whole lot of
junior guys in there. Robert
More recently, however, news organisations are functioning with less staff and with
less experience overall. Robert moved into freelance work after an extensive career
as a staffer camera operator and frequently gets calls from management at various
2
Social capital can be defined as “the networks and resources available to people through their
connections to others” (Aldrich, 2012).
broadcasters asking his opinion of someone they are looking to employ and the
applicant’s capability of working independently immediately:
They rang me to check him out and I recommended him, um, so he’s got the job but they
said to me “Oh, can we just let him loose?” and I said “No, he’ll need a bit of training.” …
Instead of what we used to get in the old days, you’d get maybe two or three years worth of
sort of training, you know, as an assistant cameraman, um, he’s getting one month, and then
he’s gonna be cut loose. Robert
Training TV news camera operators involves equipping them with the ability to get
the right kinds of shots, work efficiently, and balance assignments with deadlines.
Regardless of whether a month is a sufficient time period to learn these skills before
covering stories alone, this model does not account for the kinds of skills and
resilience required to cover PTEs. Large-scale disasters and tragedies do not occur
every day. The month in which newly appointed staffers have the opportunity to
work alongside practiced crewmembers may be busy in the traditional sense of
constant demands and restrictions on time and other resources. Nevertheless, it may
be a relatively quiet month without any form of trauma exposure. In which case, the
newly appointed staffer is denied the chance to observe more experienced col-
leagues manage their own trauma exposure or to learn about employing organi-
sation’s practices and support for staff in challenging circumstances. Training,
practice, and support regarding trauma is increasingly relevant to the news workers’
role as they have considerably high levels of trauma exposure compared to the
general population and to other professional occupations (MacDonald et al., 2017).
It appears that news organisations have fewer staffers on their books, a greater
proportion of less experienced staffers than they may have had previously, and
reduced social capital within the organisation to train and support less experienced
staffers. This latter point regarding social capital is important because news workers
require social support for the day-to-day stressors of the job and to prepare them for,
and support them in the wake of, trauma exposure. Hence, the intrinsic problem
with reducing the length of time newly appointed staffers have with more seasoned
colleagues and removing veterans from the newsroom is that employees become
less equipped to manage stressful experiences. Adam recounted an experience that
highlights this important point aptly and thus warrants the inclusion of a relatively
lengthier extract:
Look [young news workers are] gonna develop their own experiences, and their own
coping mechanisms… But there’s gonna be times where they’re going to wish they had
someone with more experience, at least holding some hands … I was disgusted one night, it
was actually when I was a sub, there was a photographer and a journo ah who went out, and
it was their first fatal [car accident] that either of them had ever been to, and the editor sent
them out at like, I dunno, it was half past five I suppose, in the arvo, and sent them out to
this fatal, knowing very well that neither of them had ever been to a fatal before. And they
were there for like two hours and in the meantime the editor’s just gone home. Just gone
home, and just left the subs there … and I’ve just gone “Hang on, these guys haven’t been
to fatals before and there’s no one here, there’s no duty of care” … They might not need it
but they might need it, you know … So they walked back in the door and I’ve just jumped
on both of them, “Do you wanna talk about what you’ve seen, are you ok? Are you all good
with it?” … They were just appreciative that there was actually someone there to, that sort
of understood. None of the other subs did, they’d never been out in the field, they didn’t
have a clue. It’s a real shame that you know, there’s a lot of, it’s not just technical
experience or media experience sort of leaving the industry, it’s just a real shame that a lot
of people with real life experience are actually leaving the industry. Adam
A number of pertinent concerns are embedded within Adam’s response. He was

frustrated with the seemingly pervasive illusion that entry-level qualifications are
sufficient to prepare a newly appointed staffer to execute all facets of their job.
Adam suggests that the work requires a range of skills that could be broadly
categorised into two components. One component is associated with domain
knowledge and practical skills relating to news production. Arguably, all new
staffers are expected to have a firm grasp on this aspect of their role, otherwise they
are unlikely to be appointed. The other component is what Adam refers to as life
experience, but more broadly encompasses the ability to balance professional and
personal elements of working in stressful environments. The working conditions are
competitive and demanding, and in addition to this, the content of the work can be
emotionally challenging. Therefore, inexperienced staffers need the ability to bal-
ance their own professional and personal needs in order to be successful in their
work and maintain a sense of well-being.
Adam’s response suggests that management perpetuates the illusion of
entry-level qualifications being sufficient to perform the role when they knowingly
send inexperienced staffers to reasonably difficult situations without preparing them
or providing follow-up support. He scrutinises the tendency for some management
to demonstrate a less than adequate duty of care for their subordinate staff.
Specifically in this example, sending inexperienced staffers to a difficult incident
and then leaving work for the day. As noted in the response, news-worthy incidents
occur sporadically and not necessarily during working hours when inexperienced
workers can access support, whether related to their psychological state or physical
safety. Management passively relinquishing their obligation to the well-being of
their staff leads individuals such as Adam to feel a professional responsibility to
provide support for their inexperienced counterparts. There is a sense of moral
obligation that comes from having insight regarding the potential emotional reac-
tions that accompany trauma coverage.
Participants indicated that regional areas in particular experience rapid turnover
in reporting staff. One suggested reason for this was that regional areas are often
viewed as stepping stones to more affluent and prestigious metropolitan networks.
However, participants indicated that career progression opportunities are less
available to camera operators. In combination, this means that experienced camera
operators in regional areas often find themselves responsible for providing on the
job training and mentoring for young and inexperienced reporters. For some, this
was a positive experience that affirmed the hard-earned knowledge they had
accumulated over the years:
I was there for seven years so I had to almost mentor a lot of younger journalists cos a lot of
them came in from university, so it was their first real job … I’ve seen enough journalists
do their job to say “Aw, you should do this” and “You should do that”, or “If you’re talking
to this person make sure you ask them this and that” … It felt good to be the person who
knows what’s happening … I had been there so long that I was always training up new
camera guys. Jack
You get a lot of very young journalists coming through and so, um, someone with my
experience now, I do do quite a lot of mentoring, um working with them and you know,
even helping out writing, you know, they’ll ask me what I think about an element of the
script or you know, if they’ve gotta write a piece-to-camera on the fly they’ll put it past me,
you know, things like that, um, where you become quite closely involved. Evan
Overall, it seems that the journalism industry is characterised by a professional

respect for those news workers who have proven their skills through experience.
However, due to a range of factors, experienced news workers are being pushed into
freelance work. Additionally, organisations are moving away from role speciali-
sation and are also less likely to provide traineeship style periods for newly
appointed staff. Those that maintain organisation-based roles experience increased
pressure to provide informal training to colleagues of differing roles, a task which is
not accounted for in their official role responsibilities. This reinforces the negative
attitudes some have about providing on the job training for colleagues in a different
role. For some news workers, the necessity to provide on the job training for
inexperienced reporters was sometimes perceived as just another task added to an
already long list of responsibilities.
Shielding Behaviours. Seasoned news workers often feel it is their responsi-
bility to protect or shield less experienced workers from unpleasant experiences.
This theme has two distinct categories. Experienced news workers may attempt to
shield or protect their less experienced colleagues from: (1) potentially distressing
content or scenes and (2) other news professionals. Shielding behaviours relating to
potentially distressing content or scenes will be discussed first. There were multiple
examples throughout participant responses where more experienced individuals
actively sought to shield their inexperienced counterparts:
Crews [camera operators] see more of it than we [reporters] do, um, because traditionally,
and on ah station wise, they get there first or they see first and most of them will say to the
kids, especially a female, “Oh, you don’t want to see that” or they’ll describe it a bit and
then the guys just won’t even go and have a look. Sophie
So I was doing that, sussing it out, and I looked at the road, and thought ok that’s an arm,
and that’s a, and that pink stuff up the road’s just mince meat … She was spread for like 70
metres up the road yeah. And then there was two um, tarpaulins about 20 feet … I went
straight to the journo who hadn’t made it up that far yet, and I just backtracked him. I said
“Ok, you’ve been to one fatal and that was with me a few weeks ago” and he didn’t see
anything, I kept him fairly sheltered from it. Um, I said “You don’t wanna go up there. It’s
up to you, it’s your call, I’d never tell you what to do but it’s not a pretty scene, it’s not a
good sight. But you make the call on what you wanna do, but I’m telling you it’s not
pretty”. In the end he did walk down, he come down, to his credit. Adam
Adam’s response highlights the complexity of the shielding process. Experienced

workers have the desire to protect those with less experience from potentially
distressing content. But they also tend to hold strong personal attitudes about
self-censorship. Although senior staffers are willing to shield less experienced
colleagues, they simultaneously believe that sustaining a career in the industry
necessitates the ability to handle exposure to trauma and distressing content with
composure and without self-censorship. As such, dependence on the protective
nature of experienced news workers is expected to be short-term.
The second distinct category was attempting to shield or protect less experienced
colleagues from other news professionals. This kind of response provided a prac-
tical example of the kinds of conflicts that can occur across roles. Responses
typically related to camera operators supporting other less experienced camera
operators who they see as being unfairly denigrated by reporters. Essentially,
seasoned camera operators try to model or comment on what an acceptable camera
operator/reporter relationship is and what is not acceptable:
All camos have a common enemy with the journalist. Other camos will look after other
camos from other stations if their journos, like, if I’m at [National Broadcaster 1] and a
[National Broadcaster 2] journo is giving, you know, being unreasonable to the camo, you
can step in and say something to them, whereas the camo can’t because they’ll cop it when
they get back. If you’re from a different station you can go “Oh, back it off”, you know. I’ve
done that three or four times to help them out because they’re young, or they’re new.
They’re not doing anything wrong it’s just the [reporter] is unorganised and they’re
blaming someone, you step in, it does you know, helps them out a bit, gives them a bit of
breather to actually “Hang on, other people were stepping in for me here so maybe they [the
specific reporter] are an idiot.” Simon
More experienced camera operators from a different network and freelancers were
the most likely to engage in this kind of behaviour, as they have less to lose from
directly challenging the involved reporter. Responses in this theme of shielding less
experienced colleagues involve striking a balance between protecting those with
less experience and giving them the opportunity to act autonomously. Whilst senior
staffers are willing to model appropriate behaviours and help ease newer staffers
into the often distressing realities of the job, they concurrently expect their new
colleagues to develop the ability to fend for themselves in order to do their job well
and gain the respect of those around them.
4 General Discussion and Conclusions
This chapter aimed to answer the following research question: What functional
roles do crew relationships play in enhancing individual resilience? The findings of
this chapter have answered this question by detailing two interrelated themes. First,
the benefits of working within a crew as opposed to alone were explored. Second, it
was established that experienced news workers are important assets in the news-
room for a range of pragmatic, technical, and psychological reasons. The findings
of this research highlight the protective functions of relationships between
crewmembers and how they can serve to minimise the negative psychological
implications of TV news work. This chapter has demonstrated that both camera
operators and reporters emphasise the importance of relationships between
crewmembers in times of trauma exposure, in contrast to their own individual
experiences. The capacity to work with other crewmembers simultaneously reduces

physical and psychological risks and improves the quality of the journalistic
product. Considerable emphasis was placed on the protective functions of having
someone to relate to and with whom to share experiences for better or worse.
A finding not previously reported elsewhere is that news workers typically use the
drive from a PTE back to the station to bond with each other and cope with their
experiences. They place greater emphasis on discussing work-related PTE exposure
and reactions with those who have had similar experiences, as opposed to having to
try and relay the experience and associated emotions adequately to family and
friends after the fact.
It was also found that news crews are smaller now than they have been in the
past, with camera operators commonly covering trauma alone in the field. These
changes are partly due to cost-cutting endeavours that have resulted not only in
single-person crews, but also in the casualisation of the industry, which has pushed
many news workers into freelance employment. News workers are increasingly
expected to have competence in a broad range of skills, rather than having spe-
cialised skills in a specific area. For those who are forced into freelance work, there
is less support globally, meaning reduced access to social support, sick leave,
insurance, etc. Another derivative of this process is that invaluable social capital is
stripped from the newsroom. The immediate implications regarding mentoring and
shielding of less experienced news workers were examined in the discussion above.
It is worth adding that there are ripple effects in the diminishing of social capital in
newsrooms. As described above, new staffers now have reduced access to expe-
rienced news professionals and, amongst other things, their local and industry
knowledge, their learned coping mechanisms, and problem-solving behaviours.
Moreover, this means that the ties to those experienced news professionals’
extended networks and key contacts are also, inherently, severed. Research has
shown that resilience and recovery after PTE exposure is in part dependent on the
quality of the social capital of a community (Aldrich, 2012). To the authors’
knowledge, this research is the first to connect sociological theory relating to social
capital with the area of journalism and trauma.
Crew solidarity serves a protective function for news crewmembers exposed to
trauma and other work-related stressors, despite potential interpersonal conflicts
based on role differences. Having an understanding and experienced colleague with
whom to discuss experiences was associated with an increased sense of resilience.
The process of openly discussing experiences is also likely to normalise emotional
reactions as an appropriate response when exposed to PTEs. Conversely, man-
agement and senior staff who do not acknowledge the potential psychological
sequelae associated with journalistic work run the risk of inadvertently perpetuating
perceptions that may be detrimental. For example, staffers working in such con-
ditions may think that the experience of negative emotional states as a result of their
work is an indicator of a personal flaw or professional inadequacy (Beam & Spratt,
2009).
The findings indicate that the psychological well-being of TV news workers
could be enhanced by allowing them to work within a team, as opposed to covering
PTEs alone. News workers find their work more fulfilling and less stressful when
they are able to work within a crew that looks out for them in dangerous situations,
and equally, one that allows them to work creatively and collaboratively to improve
the end product. Using a team to cover a story may have greater financial costs;
however, organisations should be aware of the potential risks involved in using
single-person crews and consider whether it is more suitable, and cost-effective in
the long-term, to avoid sending single-person crews out to cover certain events,
especially those events that are likely to be particularly distressing. Through real-
ising the benefits of crew relationships and employing readily available social
capital, the workplace can be part of the resilience building process. Potential mid-
to long-term financial benefits include reduced stress, increased resilience,
improved job satisfaction, reduced staff turnover and sick leave, increased pro-
ductivity, and reduced risk associated with employer negligence claims. The
findings have been used to suggest the means by which news organisations can
foster crew relationships that are healthy, productive, and enhance recovery.
Acknowledgements We would like to thank Professor Anthony J. Saliba for his constructive
comments on an earlier version of this manuscript and Dr. Robert Rowe for copy-editing earlier
versions of the method, findings, and discussion sections.
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Fear of Missing Out, Mobile Phone
Dependency and Entrapment
in Undergraduate Students
Ananya Upreti and Priyanka Musalay
Abstract The objective of this study is to observe the relationship between fear of
missing out, mobile phone dependency and entrapment in undergraduate students
from government and private colleges in Hyderabad, India. Purposive sampling
technique was used to select a sample of 300 undergraduate students. The present
study used the Fear of Missing Out Scale (Przybylski et al. in Comput Hum Behav
29(4):1841–1848, 2013), the Mobile Phone Dependence Questionnaire (Toda et al.
in NipponEiseigakuZasshi (Jpn J Hyg) 59(4):383–386, 2004) and the Entrapment
Scale (Hall and Baym in New Media Soc 14(2):316–331, 2012). Correlational
analysis showed that there is a significant relationship between fear of missing out,
mobile phone dependency and entrapment amongst undergraduate students from
government and private colleges. The results of ANOVA found significant differ-
ences in fear of missing out, mobile phone dependency and entrapment amongst
undergraduate students from government and private colleges. The limitations and
implications are discussed.
Keywords Fear of missing out Mobile phone dependency Entrapment

Undergraduate students
1 Introduction
Fear of missing out is steadily becoming a global phenomenon. Studies have

estimated that around 70% of all adults in developed countries suffer from a scary,
frenzied and frantic feeling that something is happening and that they are not a part
of it (Schreckinger, 2014). According to Herman (2000), fear of missing out is an
apprehensive attitude towards the likelihood of failing to expend the present
A. Upreti (&) P. Musalay

Department of Psychology, St. Francis College for Women, Hyderabad, India
e-mail: ananya2710@gmail.com
P. Musalay
e-mail: priyanka.toivoa@gmail.com

https://doi.org/10.1007/978-981-10-8034-0_3
40 A. Upreti and P. Musalay
opportunities and missing out on the expected pleasure associated with succeeding
in doing so. It is a ubiquitous anxiety brought on by our cognitive potentials to
recognize potential chances or opportunities. It can be manifested in many ways,
varying from a brief pang of envy to a real sense of inferiority which has now taken
a form of social anxiety. This is often triggered by posts seen on social media
websites. The fear of missing out (FoMO) episode occurs mid-conversation with
friends and loved ones, often leading to the individual/s who are involved in the
conversation, that are troubled with fear of missing out (FoMO) to experience
isolated incidents of intense rage.
This contemporary sentiment is deeply ingrained as an ancient survival instinct,
and there is a valid reason as to why the expression begins with “fear”. Giblin in
2014, stated that the stress we experience from seeing other people having more fun,
originates from a part of the brain known as the Amygdala (Luna, 2014). Not having
enough vital information or getting the impression that one is not a member of the
“in” group is enough for many individuals’ amygdala to activate and engage the
stress or activation response or the “fight or flight” response (Sanz, 2015). In other
words, when we feel left out as though we are not a part of some event or activity, we
begin to worry or feel stressed out as though we are missing out (Malespina, 2016).
The psychology behind fear of missing out, in behavioural economics, and
decision theory, can be partly explicated by the concept of loss aversion (Zaslove,
2015). From the theoretical perspective of psychological needs, fear of missing out
could be ascribed to long term or even situational deficits in the satisfaction of
psychological needs (Przybylski, Murayama, DeHaan, & Gladwell, 2013), the
prevalence of which promotes an escalating clarity of other’s social life and an
increasing quantity of real-time information (Amichai-Hamburger & Ben-Artzi,
2003). As stated by the uses and gratifications theory, people actively and delib-
erately choose and use social media to achieve their specific needs (Katz, Haas, &
Gurevitch, 1973), such as their need for information or staying in touch with others
through socializing (Park, Kee, & Valenzuela, 2009). For individuals who struggle
with fear of missing out, involvement in social media poses as an attractive
opportunity since it serves as an appropriate device to be socially connected at a
comparatively lower price (Ellison, Steinfield, & Lampe, 2007; Vaughn, 2012).
Self-determination theory asserts that a person’s psychological satisfaction in
their competence, autonomy and relatedness must be fully satisfied for the indi-
viduals to sustain their optimal performance and well-being (Deci & Ryan, 1985).
Individuals with lower levels of basic psychological satisfaction experienced a
greater degree of fear of missing out. In other words, a significant correlation was
found between basic psychological satisfaction and fear of missing out (Przybylski
et al., 2013). Additionally, nearly four out of ten young people stated that they
experience fear of missing out occasionally or frequently (Vaughn, 2012). Fear of
missing out was discovered to be negatively correlated with age and men reported
fear of missing out more than women (Vaughn, 2012).
The fear of missing out is often activated and triggered by the latest form of
communication: social media. It has always been imperative to be “in the know”
even when we wandered about in small groups. These systems, which were
Fear of Missing Out, Mobile Phone Dependency … 41
developed over a period of time, today exist in the form of television, newspapers,
the Internet, and social media platforms. The main purpose of this development was
to help the humans consolidate and enhances communication amongst other
humans to keep each other informed of important information, including potential
sources of danger to our tribes/countries/species. It is also partially due to this
reason why individuals are active participants in networking platforms like
Facebook or Twitter (Sanz, 2015).
It is mostly due to being motivated by this anxiety and insecurity of missing out
on the potential opportunities, all the more accentuated via the medium of social
media, that fear of missing out is steadily proving to be a destructive force. The
findings of a survey done by National Stress and Wellbeing in Australia Survey
(Australian Psychological Society, 2015) reported that most teenagers today suffer
from the fear of missing out which is activated when using social media. About
15% or more than half of all the teenagers who participated in the survey admitted
that they use social media for 15 min before bed every night; 37% or four in ten of
the teen respondents, in the presence of others, use social media, and 24% or one in
four teens stated that they join or connect to social media, while eating breakfast
and lunch every day. The report stated that the fear of missing out is more com-
monly seen in people who heavily rely and use social media. One in two Australian
teenagers or around 50% of the respondents admitted that they constantly feel the
fear of missing out on their friends’ inside jokes and activities, and moreover to
successfully convey that they are having fun on social media. Young adults also
frequently compare themselves to their friends and feel like they have less
rewarding experiences than them. For example, a person who is watching TV at
home decides to casually check and skim/scroll through Facebook or Instagram.
The person then comes across the photos that his/her friends posted photos of them
out clubbing and he/she suddenly feel like they are missing out on something very
important (Australian Psychological Society, 2015).
In this day and age, we are all the more open, vulnerable and exposed to what
others are doing around us, and we are constantly troubled and haunted with a
plaguing sense of alarm about whether or not we have made the right choice about
what we are doing and where we have to be at all stages of our life. This sensation
of fear of missing out is raising rapidly with the real-time and location-based media
apps (Vaughn, 2012). Partly because Millennials are the first generation of digital
native, they are specifically more exposed and thereby more defenceless against the
affect of fear of missing out (FoMO) (Popcorn, 2012).
As per the study conducted by Elhai, Dvorak, Levine, and Hall (2017), it was
revealed that overdependence or problematic use of smartphone was most corre-
lated with anxiety, fear of missing out (FoMO) and need for touch (NFT). The
study stated that behaviour activation mediated associations between smartphone
use and both anxiety and depression, and the results demonstrate the importance of
social and tactile need fulfilment variables that explain problematic smartphone use.
Also, emotional suppression also mediated the association between problematic
smartphone use and anxiety.
Savvy brands are also shaping different marketing techniques, aiming to target
and exploit this fear of missing out to influence the Millennials either by provoking
or escalating discomfort about missing out. When compared to previous genera-
tions, Millennials possess a distinct perspective, in terms of what they are willing to
spend their money on by letting FoMO or “fear of missing out” influence or drive
their monetary decisions. As per a recent survey conducted by Eventbrite in 2014, it
was reported that around 78% of 18–34 year olds were willing to pay for experi-
ences rather than things, with nearly 70% of the people accepting that fear of
missing out dictate their financial choices. Fear of missing out is a kind of social
anxiety which may have always been present, but currently is going into an
overdrive. This can be ascribed to the loss of non-virtual relationships due to
emerging smartphones and mobile applications. This can probably explain the
current phenomenon which leads to mobile phone dependency that can be wit-
nessed in nearly 75% of young adults who use social media, i.e. through the
medium of mobile phone apps (Chaudhry, 2015).
The communication technologies today have changed and revolutionized our
lifestyle, allowing the smartphones to become a basic necessity in our daily lives.
As per 95% Indian respondents, mobile phones have become an integral part of
their lives. According to a survey done by online travel company Expedia in 2014,
75% of the people use a mobile phone app on their cell phone or tablet to book
accommodation; around 86% of Indians own and use a smartphone. It has been
noted that India has the highest number of smartwatch owners globally, with 18%
of them owning and using the device (Mishra, 2014). While cell phones were
initially used as a communication device, today, they are a twenty-first-century
symbol that performs multiple roles (García-Montes, Caballero-Munoz, &
Perez-Alvarez, 2006), mainly socialization. Mobile phones can be regarded as a
bank, when using mobile banking (Jayamaha, 2008), a calculator, personal orga-
nizer, a camera or a social networking device (Bicen & Cavus, 2010), to stay
connected with their friends and family (Aoki & Downes, 2003) and to use the
Internet, email and social media such as Twitter and Facebook. Such wide array of
features makes mobile phones the ultimate social-interaction gadget.
As indicated previously, this ever-growing trend of fear of missing out is leading
to mobile phone dependency amongst its users. Mobile phone dependency can be
defined as regular reliance of the users on mobile phones such that the mobile/cell
phones become a part of the adopters’ lives to such an extent that the person using
the gadget feels lost in its absence (Hooper & Zhou, 2007). Rogers (1995) rec-
ognized this as “commitment” to using an innovation. It can be noticed that the
increasing tendency of the fear of being without mobile phone is also taking over
the general population in today’s world due to increasing mobile phone depen-
dence. It can be predominantly observed amongst the high school and college
students. A study done by YouGov in 2010 found that about 53% people using
smartphones in UK get disturbed when they either run out of battery, have no
network coverage or when they lose their phones (Merz, 2013).
Hooper and Zhou (2007), on the basis of Maslow’s motivation model, posited
that human behaviour can be considered as the definite performance of behavioural
intentions which are driven by certain concealed motives. This perspective emerges
to be in congruence with the adoption theories like Ajzen’s theory of planned
behaviour (1991) and Davis’s technology acceptance model (1989). Essentially,
Taylor and Todd (1995) explained that these models put forth the view which states
that the product’s attributes (for instance, perceived ease of use, perceived use-
fulness or relative advantage) impact the behavioural intention, which consequen-
tially triggers behaviour. These motives result in six types of behaviour identified
with cell phones usage. These behaviours are voluntary, mandatory, habitual,
addictive, compulsive and dependent behaviour (Hanley & Wilhelm, 1992; Hooper
& Zhou, 2007; Madrid, 2003; O’Guinn & Faber, 1989). Dependent behaviour,
unlike addiction, is generally influenced by the added and attached importance of a
social norm (Hooper & Zhou, 2007). Therefore, it is rather the attached importance
of communicating with others to a great extent and not the addiction of mobile
phone usage.
Profound dependence on mobile phones devices to inform, share, coordinate and
spend quality time with friends creates strong obligations and compulsion to be
responsive (Baron, 2008). The brief, targeted pattern of continuous communication
amongst friends can become a habitual ritual which becomes institutional and the
call becomes an obligation as well as a duty (Licoppe, 2004). This sense of duty/
obligation is the result of an expectation of relational maintenance, wherein the
friends and fellow peers expect each other to maintain their friendship and stay in
touch via the mobile phones to communicate and include.
Entrapment can be defined as the expectations of others (particularly friends and
peers) to inform, share and maintain relationships via text messaging or phone calls
which leads to one experiencing the overwhelming feelings of being trapped or
imprisoned (Baym, 2010). Since it is a compact and portable device which provides
us with convenience, the cell phone encourages the relational companions to be in
constant and perpetual contact (Katz & Aakhus, 2002).
The crux and the chief concern of entrapment are to perpetually stay connected.
Katz and Aakhus (2002) said, “An age of perpetual contact, at least in terms of
potential, is dawning”. The increasing accessibility and mobile phone usage in
maintaining interpersonal relations develop the perception as well as the expecta-
tion for individuals’ availability and presence in future. The relationship is nega-
tively impacted in case one fails to meet these demands for contact (Baron, 2011;
Hall & Baym, 2012; Licoppe, 2008; Yan, 2015).
Surely, while on one hand perpetual contact is regarded as a positive charac-
teristic of the phone (e.g. its ability to stay globally connected with friends and
family), Baron (2011) declared that the idea of freedom–entrapment could be dis-
ruptive, resulting in negative outcomes when cell phones are too often used and the
expectations become irrational and unrealistic. In the context of texting, Baron
found that failing to be quick with one’s response may be interpreted as a rude
gesture, therefore having a negative impact over the relationship (Baron, 2011).
This goes on to show the two-sided effect of communication and technology,
especially with the mobile phones using which any person can be tracked at any
place or time. Research studies conducted on romantic relationships focus on the
issues of entrapment when studying the dialectical tension of autonomy–connection

(Duran, Kelly, & Rotaru, 2011). In escalation to the candidates, voicing their
frustration and exasperation over the constant anticipation and pressure over who is
going to text or call, which points to the direction of anxiety being caused due to
constant contact (Duran et al., 2011), which is the very essence of the entrapment
concept (Yan, 2015).
A distinguishing feature of fear of missing out is the desire to stay continually
connected with what others are doing (Przybylski et al., 2013) which is often
experienced by Millennials who are at the threshold of adulthood in early
twenty-first century, i.e. students attending universities and colleges today
(Jonas-Dwyer & Pospisil, 2004). They are the major users of social media appli-
cations and devices in comparison to other sections of the population, and use them
quite extensively for communicating with other persons in their age group and their
fellow students in their respective disciplines (Ophus & Abbitt, 2009;
Subrahmanyam, Reich, Waechter, & Espinoza, 2008). But the flip side of such
extensive usage of social media is that it may lead to adverse impact on the
psychological well-being of the users (Alabi, 2013; Alavi, Maracy, Jannatifard, &
Eslami, 2011). These concerns about the adverse psychological issues due to
extensive social media usage amongst university or college students have lead to
increasing awareness about a relatively new phenomenon, popularly referred to as
fear of missing out (Alt, 2015). This is likely to result in addiction of the users to
mobile phones to such extent that these devices become an integral and inseparable
part of the user and without them one feels lost and helpless (Hooper & Zhou,
2007). Rogers (1995) identifies this as a desire and propensity for using a new
device/product in era of ever-evolving technology innovations. The importance
attached to the need for remaining in contact and easy accessibility to others itself
leads to constant pressure and anxiety in the users resulting in them feeling trapped
or imprisoned. Therefore, the combination of these variables, i.e. fear of missing
out, mobile phone dependency and entrapment was selected for the current study,
which is exponentially and quite frequently encountered by undergraduates or
college students.
1.1 Research Questions
1. Is there an influence of type of college (viz. government and private) and gender
of undergraduate students on fear of missing out, mobile phone dependency and
entrapment?
2. Is there a relationship between fear of missing out, mobile phone dependency
and entrapment in undergraduate students from different types of colleges (viz.
government and private)?
1.2 Objectives
1. To observe whether there is an influence of type of college (viz. government and

private) and gender of undergraduate students on fear of missing out, mobile
phone dependency and entrapment.
2. To observe whether there is a relationship between fear of missing out, mobile
phone dependency and entrapment in undergraduate students from different
types of colleges (viz. government and private).
1.3 Hypotheses
H1 There will be a difference between undergraduate students from government
and private colleges with respect to (a) fear of missing out, (b) mobile phone
dependency and (c) entrapment.
H2 There will be a difference between undergraduate boys and girls with respect
to (a) fear of missing out, (b) mobile phone dependency and (c) entrapment.
H3 There will be a relationship between fear of missing out and mobile phone
dependency in undergraduate boys from government colleges.
H4 There will be a relationship between mobile phone dependency and
entrapment in undergraduate boys from government colleges.
H5 There will be a relationship between fear of missing out and entrapment in
undergraduate boys from government colleges.
dependency in undergraduate girls from government colleges.
entrapment in undergraduate girls from government colleges.
undergraduate girls from government colleges.
dependency in undergraduate boys from private colleges.
entrapment in undergraduate boys from private colleges.
undergraduate boys from private colleges.
dependency in undergraduate girls from private colleges.
entrapment in undergraduate girls from private colleges.
undergraduate girls from private colleges.
H15 There will be an interaction between gender and type of college between the
variables of fear of missing out, mobile phone dependency and entrapment.
2 Method
2.1 Research Design
The present study adopts a between groups design to determine whether there are
any gender differences between undergraduate students going to government col-
leges and those going to private colleges in terms of fear of missing out, mobile
phone dependence and entrapment. This study also adopts a correlational design to
determine whether there is any relationship between fear of missing out, depen-
dence on mobile phones and entrapment amongst undergraduate boys and girls
going to government and private colleges. The study was conducted on students
from government and private colleges.
2.2 Sample
A non-probability purposive sampling method was used to select a sample of 300

undergraduate college students aged 17–22 years. Out of the total sample, 150 were
studying in government colleges, 75 boys and 75 girls and 150 were studying in
private, 75 boys and 75 girls.
• Inclusion criteria:
– Participants aged between 17 and 22 years were included
– Participants who were pursuing their graduation from government and pri-
vate institutions were included
– Participants who own a mobile phone (smartphones) were included.
• Exclusion criteria:
– Participants who were not pursuing or have already completed their gradu-
ation were excluded.
2.3 Instruments
• Information Schedule
Participants were asked to provide their gender, age, education, type of insti-
tution and the like in the information schedule.
• Fear of Missing Out (FoMO)
The FoMO scale was designed by Przybylski, Murayama, DeHaan and
Gladwell in 2013. It is a psychometrically valid ten-item scale that measures
individual differences in the experience of the pervasive apprehension that
others are engaged in more rewarding activities or social relationships than the
self. Participants answered each item on a scale from 1 (“Not at all true of me”)
to 5 (“Extremely true of me”). The scales items showed good consistency
(a = 0.84).
• Mobile Phone Dependence Questionnaire (MPDQ)
The Mobile Phone Dependence Questionnaire was developed by Toda, Monden,
Kubo and Morimoto in 2004. This scale is a 20 item self-report survey that
evaluates the frequency of occurrence of behaviours associated with mobile
phone. On a four-point scale ranging from (3) Always to Hardly Ever (0), par-
ticipants specify and select the general frequency with which they perform certain
mobile phone-related behaviours. Scores range from zero to sixty, with higher
scores indicating greater levels of dependence. High internal consistency has been
found in adult populations (a = 0.86) (Ezoe et al., 2009; Toda et al., 2004).
• Entrapment
Entrapment was measured by adapting seven items from the qualitative analysis
of Baron (2011) and Ling and Ytrri (2002) by Hall and Baym in 2012. Items
expressed the degree to which participants felt stressed and pressured as a result
of mobile phone usage, dependence and communication with their friends. The
seven items were found reliable (a = 0.86).
3 Procedure
After selecting the measures, a few arrangements were made for data collection.
The questionnaires and the information schedule were prepared and organized. The
authorities of the government and private colleges were contacted for permission
regarding collection of data in their college. The researcher then visited the colleges
on the scheduled dates. Rapport was established with the students and they were
made aware that their participation in the study was purely voluntary. They were
assured of maintaining confidentiality throughout the study. The students who
agreed to participate in the study were requested to sign an “Informed Consent
Form”. Next, the written and verbal instructions were given and the information
schedule was administered followed by the questionnaires (namely the fear of
missing out, mobile phone dependency and entrapment). There was no fixed time
limit for any of the questionnaires. However, the participants were expected to
complete the questionnaire in 30 min.
4 Statistical Analysis of Data
The obtained data of this study were analysed using two-way analysis of variance
and product-moment correlation using the statistical package for social sciences
(SPSS) version 21. Means of fear of missing out, mobile phone dependency and
entrapment were calculated for the groups. Two-way analysis of variance

(ANOVA) was conducted to determine whether there are any gender differences
between undergraduate students from different types of colleges (viz. government
and private) in terms of fear of missing out, mobile phone dependency and
entrapment. Product-moment correlation was computed to determine whether there
was any significant correlation between the fear of missing out, mobile phone
dependency and entrapment amongst undergraduate boys and girl from different
types of colleges.
The overall mean of the scores obtained by the participants in the present study
for FoMO, mobile phone dependency and entrapment were 27.06, 26.89 and 19.41,
respectively, while the standard deviation for FoMO, mobile phone dependency and
entrapment were 6.73, 7.83 and 5.22, respectively. The mean of the scores obtained
by the undergraduate students from government collages for FoMO, mobile phone
dependency and entrapment were 27.54, 28.61 and 20.47, respectively, while the
mean of the scores obtained by the undergraduate students from private collages for
FoMO, mobile phone dependency and entrapment were 26.58, 25.17 and 18.35,
respectively. Also, the mean scores obtained by the undergraduate boys from
government and private collages for FoMO, mobile phone dependency and
entrapment were for FoMO, mobile phone dependency and entrapment were 27.54,
28.61 and 20.47, respectively; whereas the mean scores obtained by the under-
graduate girls from government and private collages for FoMO, mobile phone
dependency and entrapment were 26.98, 25.85 and 19.32, respectively.
5 Results
Table 1 indicated a significant difference between the undergraduates from gov-

ernment and private colleges with respect to mobile phone dependency (F = 15.60,
p < 0.01). The undergraduate students from government colleges (M = 28.61)
scored significantly higher than undergraduate students from private colleges
(M = 25.17) with respect to mobile phone dependency.
There is also a significant difference between the undergraduates from govern-
ment and private colleges with respect to entrapment (F = 13.08, p < 0.01). The
undergraduate students from government colleges (M = 20.47) scored significantly
higher than undergraduate students from private colleges (M = 18.35) with respect
to entrapment. In other words, undergraduate students are more influenced by
mobile phone dependency and entrapment than undergraduate students from private
colleges.
Table 1 reveals no significant difference (p < 0.05) between the undergraduates
from government and private colleges with respect to fear of missing out.
Additionally, Table 1 reveals a significant gender difference with respect to the
mobile phone dependency (F = 5.64, p < 0.05). Undergraduate boys (M = 27.93)
scored significantly higher than undergraduate girls (M = 25.85) with respect to
Table 1 Results of two-way ANOVA with gender and type of college as the IVs and fear of
missing out (FoMO), mobile phone dependency and entrapment as the DVs (N = 300)
Variables Type of college F Gender F Gender
Government Private Boys Girls X Type
(N = 150) (N = 150) (N = 150) (N = 150) of
college
Mean (SD) Mean Mean Mean
F
(SD) (SD) (SD)
FoMO 27.54 (7.01) 26.58 1.52 27.14 26.98 0.042 0.76
(6.44) (6.52) (6.97)
MPD 28.61 (6.21) 25.17 15.60** 27.93 25.85 5.64* 3.33
(8.85) (6.52) (7.79)
Entrapment 20.47 (4.96) 18.35 13.08** 19.49 19.32 0.087 7.08**
(5.28) (4.79) (5.63)
Note
SD Standard Deviation
FoMO Fear of missing out
MPD Mobile phone dependency
**p < 0.01 level
*p < 0.05 level
mobile phone dependency. In other words, the undergraduate boys students are
more dependent on mobile phones than the undergraduate girls students.
Table 1 also states that there is no significant gender difference (p < 0.05) with
respect to the fear of missing out and entrapment.
Simultaneously, Table 1 also indicates an interaction between gender and type
of college between the variables of fear of missing out, mobile phone dependency
and entrapment.
Table 2 reveals that there is statistically no significant relationship (p > 0.05)
between fear of missing out (FoMO) and mobile phone dependency in under-
graduate boys from government colleges. Also, there was no significant relationship
(p > 0.05) between fear of missing out (FoMO) and entrapment and between
mobile phone dependency and entrapment in undergraduate boys from government
colleges.
Table 3 shows that there is statistically no significant relationship (p > 0.05)
between fear of missing out (FoMO) and mobile phone dependency and between
mobile phone dependency and entrapment in undergraduate girls from government
Table 2 Results of the correlation between fear of missing out (FoMO), mobile phone
dependency and entrapment in undergraduate boys from government colleges (N = 75)
Mobile phone dependency Entrapment
Fear Of missing out (FoMO) 0.16 0.18
Mobile phone dependency 0.01
**p < 0.01 level
*p < 0.05 level
colleges. But, it was seen there exists a high significant positive correlation between
fear of missing out (FoMO) and entrapment (r = 0.39, p < 0.01) in undergraduate
girls from government colleges.
Table 4 reveals a high significant positive correlation between fear of missing
out (FoMO) and mobile phone dependency (r = 0.32, p < 0.01) in undergraduate
boys from private colleges. There is a high significant positive correlation between
mobile phone dependency and entrapment (r = 0.40, p < 0.01) in undergraduate
boys from private colleges. And there exists a significant positive correlation
between fear of missing out (FoMO) and entrapment (r = 0.25, p < 0.05) in
undergraduate boys from private colleges.
Table 5 reveals that there is no significant relationship between fear of missing
out (FoMO) and mobile phone dependency in undergraduate girls from private
colleges. There is a significant positive correlation between mobile phone depen-
dency and entrapment (r = 0.23, p < 0.05) in undergraduate girls from private
colleges. And there exists a high significant positive correlation between fear of
missing out (FoMO) and entrapment (r = 0.33, p < 0.01) in undergraduate girls
from private colleges.
dependency and entrapment in undergraduate girls from government colleges (N = 75)
Fear Of missing out (FoMO) 0.19 0.39**
Mobile phone dependency 0.14
**p < 0.01 level
dependency and entrapment in undergraduate boys from private colleges (N = 75)
Fear Of missing out (FoMO) 0.32** 0.25*
Mobile phone dependency 0.40**
**p < 0.01 level
dependency and entrapment in undergraduate girls from private colleges (N = 75)
Fear Of missing out (FoMO) 0.20 0.33**
Mobile phone dependency 0.23*
**p < 0.01 level
*p < 0.05 level
6 Discussion
The rationale of the current study was to see if the type of college and gender
influences fear of missing out, mobile phone dependency and entrapment in
undergraduate students. The objective of the current study was to find out if there is
any relationship between fear of missing out, mobile phone dependency and
entrapment in undergraduate students from different types of colleges, i.e. gov-
ernment and private colleges.
In the present study, the results using two-way analysis of variance (ANOVA)
indicated that the undergraduate students from government colleges scored higher
than undergraduate students from private colleges in mobile phone dependency and
entrapment.
The results of the study conducted by Dixit et al. (2010) are suggestive of mobile
phone dependence amongst the students of M.G.M. Medical College, Indore. The
data indicated that fear of being out of mobile phone contact seems to be an
emerging problem of undergraduate college students in modern times, as mobile
phones have ceased to be a status symbol but has become a necessity due to its
extensive features which makes it perform various roles from a personal assistant to
a handy musical device (Dixit et al., 2010). According to DNA India, nowadays,
there is now a higher level of awareness in the people not only to judge each other
on the basis of their clothes and their houses, they also tend to rate others on the
basis of the gadgets they use in public. Therefore, one of the plausible reasons for
the undergraduates from government colleges to score higher than private colleges
could be the need to attain an equivalent social status (in the case of cell phones) in
the society (“Gadgets Often Seen As”, 2013).
The results in the present study have indicated that undergraduate boys are more
dependent on mobile phones than undergraduate girls. This can be supported by a
research done on males and females by Devis, Carmen, Vicente and Thomas (2009)
which reported that girls spend less time on mobile phones than boys. A study done
by Turner, Love and Howell (2008) stated that the individual traits like gender and
age and personality are associated differentially with certain features of mobile
phone-related behaviour. In contrast, it was discovered by Walsh, White, Cox, and
Young (2011) that gender was associated with mobile phone involvement but not
with frequency of use.
On the other hand, other studies concluded that there were a high mobile phone
dependency and usage in women than in men. Billieux, Van der Linden, and
Rochat (2008) examined the gender differences in terms of impulsion and prob-
lematic phone usage faced by the young. It was found that women are more
dependent on phones than men who tend to use their cell phones more frequently
only in dangerous circumstances. Jenaro, Flores, Gom ́ ez-Vela, Gonzaĺ ez and
Caballo (2007) analysed the compulsive and obsessive smartphone and Internet use
amongst 337 Spanish college students, and learned that excessive mobile phone use
is viewed as a feminine quality, and having high level of anxiousness and insomnia.
In the current study, the results showed that there was an interaction between
gender and type of college in the variable of entrapment.
Using Pearson’s product-moment correlation coefficient, it was found that there
was a significant relationship between fear of missing out and entrapment in both
undergraduate girls from government colleges and in undergraduate girls from
private colleges. In contrast to the results of the present study for fear of missing out
and mobile phone usage, it was discovered in a study done by Abel, Buff and Burr
(2016) that while assessing gender and FOMO, there was no significant finding that
was found. Also, the average total fear of missing out (FoMO) score for men was
marginally lower than that reported by women. The results have also indicated that
there was a significant relationship between fear of missing out, mobile phone
dependency and entrapment in undergraduate boys from private colleges.
Findings of present study for fear of missing out (FoMO) and mobile phone
usage are supported by a research done by Trnkova, Nguyên, and Madeira (2015)
who have suggested that there is an underlying correlation between fear of missing
out and usage of mobile phone. Though the term fear of missing out (FoMO) is
rather new in psychology, its consequences have been known for the past many
decades. Easy connectivity at all times and all places increases real-time digital
updates on our constant group contacts via our smartphone. People keep on
checking their cell phones in their anxiety not to miss any new information or
rewarding experience (Vaughn, 2012). According to Chaudhry (2015), the phe-
nomenon of fear of missing out (FoMO) can be indirectly linked to loss of their
relationships with their close social media relations/contacts through smartphones
and mobile applications. The fear of missing out, a current phenomenon experi-
enced by nearly 75% of young adults using social media, results from constant
usage of social media due to its efficiency for providing prompt and constant
connection to social networks and contacts. This inevitably leads to a deep
addiction and dependence to social networking sites, and thereby to extensive usage
of the mobile apps, to phones also (Chaudhry, 2015).
Findings of the present study for mobile phone dependency and entrapment are
supported by a research done by Subba et al. (2013). This study aimed to discover
the proportion of students who experienced “ringxiety” (phantom ringing) and other
perceived effects, as well as the pattern of the mobile phone usage amongst private
college students. Amongst the total number of students, the proportion of the
students who had the symptom of “ringxiety” was 34.6% (116). Of these, 51.8%
(60) were males and 48.2% (56) were females. This study illustrates that men are
more affected by “phantom ringing” and other perceived effects of the mobile
phones, which could be one of the possible reasons which is creating more
dependence on mobile phone especially in males.
Findings of present study for fear of missing out and entrapment are also sup-
ported by a research done by Alt (2015) which established positive linkage between
two motivational factors: Extrinsic and amotivation for learning and social media
engagement and these links are more likely to be mediated by fear of missing out
(FoMO). As mentioned earlier, students extensively depend on mobile phone tools
and apps to stay in touch with others through mobile phones (Ophus & Abbitt, 2009)
which is likely to lead to hyper-coordination, i.e. the need to socialize and interact
with others on a daily basis (Ling, 2004; Ling &Yttri, 2002) which finally leads to
entrapment (Baron, 2011; Hall & Baym, 2012).
The results in the current study have indicated that there was a significant causal
relationship between mobile phone dependency and entrapment in undergraduate girls
from private colleges. A research done by Hall and Baym (2012), who concluded that
the overdependence on mobile phones, is built upon the feeling of entrapment, but
instead of cementing the desired relationship, it may lead to loss of satisfaction in the
relationship linkage. Though extensive usage of mobile and social media can help
create more connectedness, but its adverse consequences may result in cementing of
suffocative constant contacts over autonomy, which can also lead to feelings of
addictive overdependence and finally entrapment. This inevitable contradictory pulls
between remaining in constant contact through technology and feeling entrapped and
imprisoned by technology are reported in different user profiles, from American
college students (Baron & Ling, 2007) to poor urban Philippine spouses (Portus, 2008)
and middle-class Indian families (Donner, Rangaswamy, Steenson, & Wei, 2008).
6.1 Limitations
Regression can be done to explore the relationships between fear of missing out,
mobile phone dependency and entrapment and predict how they affect and influ-
ence each other.
The second limitation is that sample in the study has been restricted to just
college undergraduates from different types of colleges. This study can be further
conducted on adolescents, adults and older people to assess whether or not people
from different age groups experience fear of missing out, mobile phone dependency
and entrapment.
6.2 Implications
It is observed from the present study that the undergraduate students from gov-
ernment colleges, especially boys are more dependent on mobile phones than the
undergraduate students from private institutions. Thus, these findings can help the
teachers and school psychologists in government educational institutions to deter-
mine the source of anxiety and stress for the young adults and help in building
measures for reducing the same.
The study also helps the students and even the adolescents in identifying to what
extent they are dependent on mobile phones, which is increasing at a rampant pace
due to them experiencing this phenomenon of fear of missing out, and in many
cases leads to them feeling entrapped or cornered. It will be helpful in introspecting
different ways to counteract and reduce the same.
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Re-evaluation of the Factor Structure
of Motivations of Marathoners Scales
(MOMS)
I. T. Heazlewood, J. Walsh and M. Climstein
Abstract The Motivations of Marathoners Scales (MOMS) was developed by

Masters et al. (1993) to assess participant motivation in marathon runners. It con-
tained 56 stem generic items or questions using a seven-point Likert response scale,
which represented nine first-order factors or motives to participate in marathons
using male and female pooled data. The nine first-order factors represented four
second-order factors as follows: general health orientation and weight concern
(second-order factor physical health motives); affiliation and recognition
(second-order factor social motives); competition and personal goal achievement
(second-order factor achievement motives); and psychological coping, self-esteem
and life meaning (second-order factor psychological motives). The psychometric
instrument displayed internal consistency, test-retest reliability and factorial validity
of scales. The instrument has been applied at international multisport events to
evaluate differences in participant motivation in different genders, ages and different
sports. The research aim was to re-evaluate the first- and second-order factor
structure of the MOMS instrument with a different sport cohort of male and female
athletes competing at the 2009 World Masters Games (WMG). The study was
approved by a university human research ethics committee. Male and female ath-
letes competing at the 2009 World Masters Games volunteered to participate in the
research project (male n = 2522; female n = 2428). Athletes completed an online
survey using the Limesurvey™ interactive survey system. Factor analysis was
completed via SPSS version 23 using principal component analysis, orthogonal and
oblimin rotations. The results using non-constrained first-order factor analysis
produced eight factors with the majority of items loading significantly on factor 1.
I. T. Heazlewood (&) J. Walsh

School of Psychological and Clinical Science, Charles Darwin University,
Darwin, NT 0909, Australia
e-mail: ian.heazlewood@cdu.edu.au
URL: http://www.cdu.edu.au/
M. Climstein
Exercise, Health & Performance Faculty Research Group,
University of Sydney, NSW 2006, Australia
e-mail: mike.climstein@sydney.edu.au

https://doi.org/10.1007/978-981-10-8034-0_4
58 I. T. Heazlewood et al.
The constrained (n = 9) first-order factor analysis produced a similar result with

most items loading on factor 1. Varimax rotations resulted in loadings on other
factors but not consistent with the original instrument. Second-order factor analysis
following a similar approach produced only one significant factor instead of the
expected four using the non-constrained approach. When the solution was con-
strained to four factors, once again, the majority of nine first-order factors loaded on
factor 1. In conclusion, the factor structure identified in the original MOMS
instrument was not reproduced with the WMG male and female cohort. Initial
solutions for first-order factors (explained variance 38%) and second-order factors
(explained variance 57.8%) the majority of items loaded on a significant factor 1,
which explained most of the variance in the correlation matrix. Constraining models
to the original nine first-order factors and four second-order factors slightly
improved the solution when mapped with the original instrument factor structure.
However, based on these results with the WMG cohort suggests one significant
underpinning factor that of participant motivation for competition at this level.

Keywords Re-evaluation Factor structure Motivations of Marathoners Scales

(MOMS) Participant motivation Masters athletes
1 Paper Preparation
1.1 Motivations of Marathoners Scales (MOMS)
The Motivations of Marathoners Scale (MOMS) is a self-report sport psychological

instrument that measures factors to participate in sport Masters, Ogles, and Jolton
(1993). Motivating people to be physically active has been identified as the most
important factor to engage people in and to get them to adhere to physical activity
(Marcus & Forsyth, 2009; Weinberg & Gould, 2015). The original MOMS instrument
was developed by Masters, Ogles and Jolton to evaluate these factors in marathon
athletes (Masters et al., 1993). However, the instrument has been applied to masters’
sports athletes of both genders competing at international competitions across dif-
ferent sports events (Adams et al., 2011; Heazlewood et al., 2011, 2012, 2015).
The MOMS instrument consists of 56-item stem questions related to nine
first-order motivating factors with a seven-point Likert scale response for each item.
The spectrum of responses exists from 1 = least important through to 7 = most
important reason. The MOMS instrument was developed based on nine first-order
participant motivation factors, which are health orientation, weight concern, per-
sonal goal achievement, competition, recognition, affiliation, psychological coping,
life meaning and self-esteem. The original instrument evaluated for factor validity,
internal reliability and test-retest reliability utilized marathon runners of both
genders, specifically 387 males and 95 females (mean = 37.5; SD = ±9.21 years;
age range = 16–63 years), indicating masters-age athletes were represented in the
Re-evaluation of the Factor Structure … 59
original instrument development sample. A second sample was analysed and uti-
lized marathon runners of genders, specifically 601 males and 111 females (age
range = 16–79 years), and again, indicating masters-age athletes were represented
in the original instrument. The MOMS instrument was assessed for reliability and
validity analysis and displayed high internal consistency (Cronbach’s alpha range
0.80–0.93), good test-retest reliability (intraclass correlations, R range 0.71–0.90),
factor validity, construct validity, convergent validity and discriminant validity
(Masters et al., 1993; Ogles & Masters, 2000). The theoretical model for the sec-
ondary factors was substantiated using structural equation modelling (SEM). The
nine first-order factors were theorized to represent and then theoretically collapsed
into four second-order factors as follows.
1. Physical Health Motives
Based on first-order factors of general health orientation representing concepts such
as to improve my health, to prolong my life, to become more physically fit, to
reduce my chance of having a heart attack and to stay in physical condition; and
weight concern representing concepts such as to look leaner, to help control my
weight and to reduce my weight. The standardized statistical weights for the pri-
mary factors based on the structural equation model were 0.705–0.954.
2. Social Motives
Based on first-order factors affiliation representing concepts such as to socialize
with other runners, to meet people, to visit with friends and to share a group identity
with runners; and recognition representing concepts such as to earn respect of peers,
people look up to me, brings me recognition and to make my family or friends
proud of me. The standardized statistical weights for the primary factors based on
the structural equation model were 0.687–0.743.
3. Achievement Motives
Based on first-order factors competition representing concepts such as to compete with
others, to see how high I can place, to get a faster time than my friends and to beat
someone I’ve never beaten before; and personal goal achievement representing con-
cepts such as to improve my running speed, to compete with myself, to push myself, to
beat a certain time and to try to run faster. The standardized statistical weights for the
primary factors based on the structural equation model were 0.701–0.998.
4. Psychological Motives
Based on first-order factors psychological coping representing concepts such as to
become less anxious, to distract myself from daily worries, to improve my mood, to
concentrate on my thoughts and to solve problems; self-esteem representing concepts
such as to improve my self-esteem, to feel more confident, to feel proud of myself, to
feel a sense of achievement and to feel mentally in control of my body; and life
meaning representing concepts such as to make my life more purposeful, to
make myself feel whole, to feel a sense of belonging with nature and to feel at peace
with the world. The standardized statistical weights for the primary factors based on
the structural equation model were 0.758–0.989.
Oglesand Masters (2000) applied the MOMS instrument to assess participant

motives in younger and older; however, in this context, the instrument was applied
and not re-evaluated for reliability and validity as this was thought to have been
established in the MOMS original instrument.
Zach et al. (2015) retested and developed upon the Motivation of Marathoners
Scale (MOMS) model instrument based on their attempt to assess cross-cultural
validation of MOMS. The original 56-item instrument was applied in a different
cultural context where the MOMS instrument was translated from English to
Hebrew using back translation and the committee approach and applied to 233 men,
58 women marathon athletes (age ranging 20–77 years; mean = 41.87; SD =
±8.58 years) who completed the Hebrew version of the MOMS questionnaire.
They applied confirmatory factor analysis to re-evaluate the initial first-order factor
structure of the original Masters et al., instrument and failed to confirm the nine
first-order factors of health orientation, weight concern, personal goal achievement,
competition, recognition, affiliation, psychological coping, life meaning and
self-esteem. They subsequently applied exploratory factor analysis to the MOMS
56-item data set. The final factor solution accepted and based on this method
consisted of eleven factors and supported by the significant factor loadings, which
were redefined as psychological coping 1 (emotional-related coping); psychological
coping 2 (everyday-life management); life meaning; self-esteem; recognition;
affiliation; weight concerns; general health orientation 1 (reduced disease preva-
lence and longevity); general health orientation 2 (keep fit); competition; and
personal goal achievement. A final confirmatory SEM model was applied to the
new eleven-factor model to confirm the new theoretical model.
Ruiz and Sancho (2011) translated the MOMS to a Spanish version based on the
original 56-item instrument developed by Masters et al. (1993). Using the 56-item
instrument and two samples of Spanish running athletes, they derived a seven
first-order factor model to represent the correlations between the stem items as
compared to the original nine as derived by Masters, Ogles, and Jolton (1993) and
the eleven derived by Zach et al. (2015). The seven first-order factors derived and
linked to second-order factors were health orientation and weight concern
(second-order health and physical activity motivation); personal achievement and
competition (second-order achievement motivation); recognition and affiliation
(second-order social motivation); and psychological goals and self-esteem
(second-order psychological motivations). The number of stem items in the
Spanish version of MOMS was reduced to 34 items to better reflect this new seven
first-order factor model. A path analysis was then conducted on the 34 item
instrument with the seven first-order factors linked to the four second-order factors
for confirmation of the new Spanish version representing the MOMS instrument.
Internal reliability was also conducted on the revised instrument, and the items with
the new seven factors displayed good Cronbach’s alpha values from 0.80 to 0.90.
To summarize, where the original MOMS instrument was subjected to
cross-cultural testing and cross-cultural validation, the results were different in
terms of the factors derived. The original instrument that displayed nine first-order
and four second-order factors, and the Hebrew version that displayed eleven
first-order and second-order factors were not analysed in this study, and finally,
Ruiz and Sancho’s Spanish version generated seven first-order and four
second-order factors, although the second-order factors in this research were similar
to those of the original instrument. This indicates the instrument factor structure
both theoretical and empirical is dependent upon the unique responses from athletes
in different cultures with different languages and questions the generalizability of
the instrument across different cultural sport settings.
1.2 Research Aim
The research aim was to re-evaluate the generalizability of the first- and
second-order factor structure of the MOMS instrument with a different sport cohort
of male and female athletes, with athletes from different sport cultures (nations) and
with masters’ age athletes participating across a variety of sports and competing at
the 2009 World Masters Games (WMG).
1.3 Research Design
The research design consisted of action research to re-evaluate both first- and
second-order factor of the original MOMS instrument Masters et al. (1993) by
applying both confirmatory factor analysis and exploratory factor analysis to the
data set generated from the 2009 World Masters Games, which is a multisport and
multination international sporting event. Exploratory factor analysis was applied
without constraints in terms of the number of factors expected and allowed the
statistical criteria of eigenvalues greater than one as the initial criterion for the
selection and identification of significant factors (Hair et al., 2006, 2010). An
open-ended approach suggested by the diverse research findings in the introduction.
Confirmatory factor analysis (Hair et al., 2006, 2010) was applied to evaluate if the
nine first-order factors of health orientation, weight concern, personal goal
achievement, competition, recognition, affiliation, psychological coping, life
meaning and self-esteem could be derived and replicated from the 51 item instru-
ment and if four second-order factors of (1) physical health motives, (2) social
motives, (3) achievement motives and (4) psychological motives could be derived
and replicated from the nine first-order factors representing the theoretical and
actual factor structure presented by Masters et al. (1993). In this context, the
researcher defined nine factors for the first-order factors and four factors for the
second-order factors.
2 Methods
2.1 Sample
The study was approved by a university human research ethics committee. Male
and female athletes competing at the 2009 World Masters Games, Sydney,
Australia, volunteered to participate in the research project (male n = 2522,
mean = 53.72, SD = 10.05 years, range = 25–91 years; female n = 2428,
mean = 49.39, SD = 9.15 years, range = 26–91 years). Athletes completed the
self-report instrument via an online survey using the Limesurvey™ interactive
survey system liked to the World Masters Games Web page. The athlete sample
represented 84 nations and competed in 28 different sports at this international level
competition, essentially analogous to the Olympic Games for masters’ age athletes.
2.2 Psychometric Instrument
The Motivations of Marathoners Scale (MOMS) (Masters et al., 1993) was the
self-report sport psychological instrument evaluated based on the instruments the-
orized and empirically pre-validated factor structure by applying both exploratory
and confirmatory factor analyses methods that measures the different factors that
determine participant motivation of athletes to compete 2009 World Masters Games
at the in sport. The instrument competed prior to competing and during competition
at the games. The structure of the instrument is explained in detail in the intro-
duction section. The seven-point Likert scale used was on a spectrum from 1 to 7 as
in the following example. Table 1 lists the 56-item stems.
Not a reason A most important reason

1 2 3 4 5 6 7
The MOMS scoring instructions and coding for the instrument for items loaded
with first-order and second-order factors in the original instrument are:
Step 1—Average the items for each of the following nine scales.
Step 2—No items are reverse scored.
Step 3—First-order factor loadings for each item.
Health orientation—8, 14, 17, 26, 37, 44
Weight concern—1, 4, 21, 42
Personal goal achievement—5, 9, 22, 35, 46, 51
Competition—2, 40, 43, 52
Recognition—3, 6, 19, 45, 48, 54
Affiliation—7, 12, 16, 24, 30, 33
Psychological coping—10, 15, 18, 28, 36, 38, 39, 47, 50
Table 1 Original items in Items

the 56-item instrument
1 To help control my weight
2 To compete with others
3 To earn respect of peers
4 To reduce my weight
5 To improve my running speed
6 To earn the respect of people in general
7 To socialize with other runners
8 To improve my health
9 To compete with myself
10 To become less anxious
11 To improve my self-esteem
12 To have something in common with other people
13 To add a sense of meaning to life
14 To prolong my life
15 To become less depressed
16 To meet people
17 To become more physically fit
18 To distract myself from daily worries
19 To make my family or friends proud of me
20 To make my life more purposeful
21 To look leaner
22 To try to run faster
23 To feel more confident about myself
24 To participate with my family or friends
25 To make myself feel whole
26 To reduce my chance of having a heart attack
27 To make my life more complete
28 To improve my mood
29 To improve my sense of self-worth
30 To share a group identity with other runners
31 It is a positive emotional experience
32 To feel proud of myself
33 To visit with friends
34 To feel a sense of achievement
35 To push myself beyond my current limits
36 To have time alone to sort things out
37 To stay in physical condition
38 To concentrate on my thoughts
39 To solve problems
40 To see how high I can place in races
41 To feel a sense of belonging in nature
(continued)
Table 1 (continued) Items

42 To stay physically attractive
43 To get a faster time than my friends
44 To prevent illness
45 People look up to me
46 To see if I can beat a certain time
47 To blow off steam
48 Brings me recognition
49 To have time alone with the world
50 To get away from it all
51 To make my body perform better than before
52 To beat someone I’ve never beaten before
53 To feel mentally in control of my body
54 To get compliments from others
55 To feel at peace with the world
56 To feel like a winner
Life meaning—13, 20, 25, 27, 41, 49, 55

Self-esteem—11, 23, 29, 31, 32, 34, 53, 56
Step 4—Second-order factor loadings.
1. Physical Health Motives—composed of health orientation and weight concern.
2. Social Motives—composed of affiliation and recognition.
3. Achievement Motives—composed of competition and personal goal
achievement.
4. Psychological Motives—composed of psychological coping, self-esteem and
life meaning.
2.3 Statistical Analysis
The athletes completed the original instrument development by Masters et al.

(1993), that is, the 56-item stem question. Both confirmatory factor analysis and
exploratory factor analysis were applied to the data set generated from the 2009
World Masters Games using SPSS version 23. In the context of multivariate sta-
tistical analysis, the primary objectives of factor analysis are (Hair et al., 2006,
2010):
1. To identify underlying constructs or factors that explain the correlations among
a set of measured variables.
2. To test explicit hypotheses about the structure of the variables in this research
the structure of the events in decathlon and heptathlon.
3. To summarize a large number of variables with a smaller number of derived

latent variables or factors.
4. To determine the number of dimensions or factors to represent a number of
variables.
5. To achieve the simplest, parsimonious and pragmatically more meaningful
factor solution that can be related to existing theories if they exist.
A number of factor analyses and rotations were applied based on recommen-
dations to derive the most interpretable factor solution, specifically, principal
component analysis, unweighted least squares, generalized least squares, maximum
likelihood, principal axis factoring, image factoring and alpha factoring. Each
method differs in the criterion used to define goodness of fit indices, and the reader
is referred to Hair et al. (2006, 2010) for a more detailed explanation of these factor
analytic approaches. Although the factor matrix obtained from the extraction phase
indicates the number of significant factors, the percentage of variance explained and
initial factor loadings, it is sometimes difficult to identify or obtain factor simplicity
from the initial matrix. As one of the major goals of factor analysis is to identify
factors that are substantively or theoretically meaningful, the factor rotation method
was applied to transform the initial factor matrix into a rotated matrix that can
generate conceptually easier models to interpret.
3 Results
3.1 Exploratory—First-Order Factors
Exploratory factor analysis based on principal component analysis derived eight

factors and not the expected nine factors based on the original instrument. The
initial extraction non-rotated orthogonal solution was set to display factor loadings
at 0.4 or greater. Total variance explained was 67.9%, and some factor complexity
was noted as a small number of items loaded with two or more derived factors. In
the initial solution, 51 items loaded with factor 1 which explained a very significant
38.1% of the explained variance, five items with factor 2 (6.7% variance), seven
items with factor 3 (6.4% variance), six items with factor 4 (5.6% variance), four
items with factor 5 (3.9% variance) and derived factors 6 (2.9% variance), 7 (2.4%
variance) and 8 (1.9% variance) did not have any significant factor loadings greater
than 0.4. This indicated the initial responses across the majority of items were in the
same direction. The subsequent factor rotations as expected generated some par-
titioning of the factor loadings. The varimax rotated solution with Kaiser normal-
ization did provide some more theoretical meaning to the analysis and dispersed the
items more meaningfully across the eight factors, as the eight-factor rotated model
loaded with some of the underpinning theoretical constructs. Specifically, factor 1
was loaded with items associated with psychological coping, factor 2 items asso-
ciated with recognition, factor 3 with health orientation, factor 4 with self-esteem,
factor 5 with competition, factor 6 with affiliation, factor 7 with personal goal
achievement and factor 8 with weight concern and life meaning was not identified
as a specific factor. Limited space does not permit the presentation of the rotated
factor matrix based on the 56-item instrument.
3.2 Exploratory—Second-Order Factors
The derivation of the second-order factors was assessed using factor structure of the
nine factors as scored in the original instrument using the scoring criteria based on
relevant items. Significant correlations were evident between all the nine factors,
and as a consequence, only one significant factor was derived (explained variance
57.8%).
As a consequence, not rotations can be performed. The component matrix is
displayed in Table 2. In this solution all the first factors are loaded with only the
one second-order factor derived. This result is inconsistent with the expected four
second-order factors of physical health motives, social motives, achievement
motives and psychological motives.
3.3 Confirmatory—First-Order Factors
In this solution, the researchers defined nine first-order factors to be derived. Total
explained variance 70.4%. The initial solution, once again, indicated that 52 items
loaded with factor 1, eight items with factor 2, six items with factor 3, seven items
with factor 4, three items with factor 5 and no significant loadings of any items with
factors 6, 7, 8 and 9. This indicates the responses are in the same direction for most
athletes across the majority of participant motivation items. Once again factor
Table 2 Component matrix Component

second-order factor
1
Weight concern 0.726
Competition 0.693
Health orientation 0.692
Goal achievement 0.747
Recognition 0.784
Affiliation 0.547
Psychological coping 0.808
Life meaning 0.872
Self-esteem 0.912
Note Extraction method: Principal component analysis. One
component extracted
complexity was noted for a number of items as they loaded across two factors and
did not represent the more unique loadings suggested in the original instrument
development and validation. Varimax rotation did redistribute the loadings to
partially replicate the nine factors postulated by Masters et al. (1993) with factor 1
representing a mix of psychological coping and self-esteem, factor 2 psychological
coping, factor 3 personal goal achievement, factor 4 health orientation, factor 5
affiliation, factor 6 recognition, factor 7 weight concern, factor 8 self-esteem part 2
and factor 9 competition. However, there was a moderate degree of factor com-
plexity with self-esteem loaded with factor 1 and factor 8. It was interesting to note
that competition only loaded with one item on factor 9 and other items evaluating
competition did not display significant loadings. Once again, limitations based on
space do not permit the inclusion of the 56-item factor matrix table.
3.4 Confirmatory—Second-Order Factors
The initial solution displayed in Table 3 indicates that all first-order factors load
with factor 1, as well as displaying some factor complexity for weight concern with
factor 1 and factor 2, competition and goal achievement with factor 1 and factor 3,
and affiliation with factors 1, 2 and 4. The explained variance in this model was
86%. The varimax-rotated solution displayed in Table 4 loads recognition, psy-
chological coping, life meaning and self-esteem with factor 1, competition, goal
achievement, recognition and self-esteem with factor 2. However, factor complexity
is displayed for both recognition and self-esteem. Weight concern, health orienta-
tion goal achievement load with factor 3, however, once again complexity is dis-
played for goal achievement loading with both factors 1 and 3. Finally, affiliation
loads significantly with factor 4.
Table 3 Initial solution Component

component matrix
1 2 3 4
Weight concern 0.726 −0.491
Competition 0.693 0.628
Health orientation 0.692 −0.506
Goal achievement 0.747 0.445
Recognition 0.784
Affiliation 0.547 0.503 0.622
Psychological 0.808
coping
Life meaning 0.872
Self-esteem 0.912
Note Extraction method: Principal component analysis. Four
components extracted
Table 4 Varimax-rotated Component

component matrix
1 2 3 4
Weight concern 0.800
Competition 0.897
Health orientation 0.871
Goal achievement 0.760 0.460
Recognition 0.658 0.521
Affiliation 0.948
Psychological coping 0.878
Life meaning 0.845
Self-esteem 0.678 0.444
Note Extraction method: Principal component analysis. Rotation
method: Varimax with Kaiser normalization. Rotation converged
in 6 iterations
4 Discussion
4.1 Exploratory Factor Analysis
The results are to some degree inconsistent with the theoretical construct and
empirical validity of the original (Masters et al., 1993). The initial solution pro-
duced eight significant factors and not the expected nine, and loadings on the initial
solution were low for factors 6, 7 and 8. The initial exploratory factor analysis
solution indicated significant loadings for the majority of items on a derived factor 1
and which explained most of the variance in the correlation matrix. This factor 1 in
this context could be referred to as a general participant motivation disposition,
which was supported by the significant factor loadings for many of the items. The
varimax-rotated matrix provided a more meaningful solution, where items were
associated with first-order factors as health orientation, weight concern, personal
goal achievement, competition, recognition, affiliation, psychological coping and
self-esteem. However, the theorized factor of life meaning was not generated.
The expected four second-order factors did not eventuate in this research as only
one significant factor was derived and all the nine first-order factors loaded with this
derived factor. This result using this method was inconsistent with the second-order
factor structure presented in the original MOMs instrument and suggests the one
second-order factor derived in this research represents a more global participant
motivation orientation to international competition at this level. In his research, the
athletes were from many cultures/nations and participating across many different
sports, whereas previous research sampled marathon and distance runners. Results
from Zach et al. (2015) generated eleven and Ruiz and Sancho (2011) seven sig-
nificant first-order factors, respectively, and these were from samples in homoge-
nous cultures/nations and represented different results from the hypothesized
structure in the original instrument evaluating participant motivation in endurance

running athletes.
4.2 Confirmatory Factor Analysis
This analysis constrained the analysis to generate nine first-order factors and four
second-order factors based on the 2009 World Masters Games data set. A data set
was multicultural/multinational and represented a diversity of individual and team
sports. The initial solutions for the first-order factors reflected to a degree, the
results of the exploratory factor analysis, where the majority of item loaded with
one factor the general or global disposition for participant motivation, although
some factor complexity was noted. The varimax rotation is to generate a more
meaningful solution and partially consistent with the nine-factor model of Masters
et al. (1993). Specifically, factor 1 representing a mix of psychological coping and
self-esteem, factor 2 psychological coping, factor 3 personal goal achievement,
factor 4 health orientation, factor 5 affiliation, factor 6 recognition, factor 7 weight
concern, factor 8 self-esteem part 2 and factor 9 competition. Although self-esteem
constructs did appear with factor 1 and factor 8 and questions related to the factor of
the competition were in most cases excluded as meaningful to the solution based on
2009 World Master Games athletes.
The second-order factors (Masters et al., 1993) were the following.
1. Physical Health Motives—composed of health orientation and weight concern.
2. Social Motives—composed of affiliation and recognition.
3. Achievement Motives—composed of competition and personal goal
achievement.
4. Psychological Motives—composed of psychological coping, self-esteem and
life meaning.
In this research, significant factor loadings were:
Factor 1—recognition, psychological coping, life meaning and self-esteem.
Factor 2—competition, goal achievement, recognition and self-esteem.
Factor 3—weight concern, health orientation and personal goal achievement.
Factor 4—affiliation.
These results are different from the predicted model as recognition appears as a
factor without affiliation as factor 4 and yet appears in factor 1 as well indicating
factor complexity. Personal goal achievement is loaded with weight concern and
health orientation in factor 3 as well as in factor 2. However, psychological coping,
life meaning and self-esteem do load together on factor 1 and in part replicating this
concept from the original instrument for this second-order factor.
5 Conclusion
Both exploratory factor and confirmatory factor analysis in an attempt to replicate

the first- and second-order factor structure of the Masters et al. (1993) MOMS
instrument to measure participant motivation in athletes did not display general-
izability when applied to different cultures, cohorts and sports. This study con-
firmed the findings of Zach et al. (2015), Ruiz and Sancho (2011) that different
first-order factor structures are different across different cultural and sports settings
and suggests modifications of the original instrument to be more cultural and
sport-specific when evaluating athlete participant motivations.
The identical statement is relevant when the second-order factor structure of the
original English version of the instrument is evaluated as the second-order structure
in his research was significantly different when evaluated via exploratory and
confirmatory factor analysis based on the athletes sampled from the 2009 World
Masters Games.
The next step in the research is to apply structural equation modelling to the
existing data set to evaluate the best theoretical and empirical model that fits the
data and possibly resulting in further refinement of the original instrument when
evaluating participant motivation in masters’ athletes, competing in many different
sports from many different cultures/nations.
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The Diagnostic Criteria of Gambling
Disorder of DSM-5 in Chinese Culture:
By Confirmatory Factor Analysis
(CFA) and Item Response Theory (IRT)
Wing-Yip Chui, Shu-Kam Lee, Yuk-Lan Mok and Chun-Kei Tsang
Abstract Problem and pathological gambling are currently known as gambling

disorder as listed in the fifth edition of the Diagnostic and Statistical Manual of
Mental Disorder (DSM-5; American Psychiatric Association in Diagnostic and
statistical manual of mental disorders. American Psychiatric Association,
Washington, DC, 2013). Nevertheless, in Hong Kong, the development of gam-
bling disorder treatment and research is still at an infant stage (Shek, Chan & Wong
in Int J Child Health Hum Dev 6(1):125–144, 2013). This article will discuss the
diagnostic criteria gambling disorder listed in DSM-5 in Hong Kong context. With
confirmatory factor analysis (CFA) and item response theory (IRT), the diagnostic
criteria of gambling disorder listed in DSM-5 were found to be a reliable and valid
assessment. With differential item function (DIF) analysis, it was found that the
diagnostic criteria of gambling disorder listed in DSM-5 could discriminate those
who experience and demonstrate gambling disorder. Hence, the aforementioned
criteria could serve as a screening tool differentiating those who have or do not have
W.-Y. Chui (&)

Department of Psychology, Assessment Research Centre,
Education University of Hong Kong, Tai Po, Hong Kong, China
e-mail: francischui.fc@gmail.com
S.-K. Lee
Department of Economics and Finance Director, Business, Economics
and Public Policy Research Centre, Hong Kong Shue Yan University,
Hong Kong, China
e-mail: sklee_bepp@hksyu.edu
Y.-L. Mok
Christian New Hope Fellowship, Hong Kong, China
e-mail: frannymok@gmail.com
C.-K. Tsang
Business, Economics and Public Policy Research Centre,
Hong Kong Shue Yan University, Hong Kong, China
e-mail: cktsang_bepp@hksyu.edu
C.-K. Tsang
Department of Economics, Hong Kong Baptist University, Hong Kong, China

https://doi.org/10.1007/978-981-10-8034-0_5
74 W.-Y. Chui et al.
gambling disorder. To facilitate the clinical procedure, the IRT results suggested a
procedure of interviewing potential clients with the diagnostic criteria of gambling
disorder for screening purpose.

Keywords Gambling disorder DSM-5 Hong Kong Confirmatory factor analysis

(CFA) Item response theory (IRT) Differential item functioning (DIF)
1 Introduction
Problem and pathological gambling are currently known as gambling disorder as

listed in the fifth edition of the Diagnostic and Statistical Manual of Mental
Disorder (DSM-5; American Psychiatric Association, 2013). The prevalence rate of
gambling disorder was found between 0.2 and 5.3% (Hodgins, Stea, & Grant,
2011). In Hong Kong, a study conducted in 2011 (Ho, Chung, Hui-Lo, & Wong,
2012) indicated that the prevalence rate of possible gambling disorder was 1.4–
2.2%, respectively. Gambling disorder could have various adverse effects on
individuals, families and society. The undesirable consequences would entail debt
problems, marital conflicts, criminal behaviour, family violence and breakdown as
well as severe emotional and mental health problems (Abbott, 2001; Krishnan &
Orford, 2002; Black, Monahan, Temkit, & Shaw, 2005). Therefore, a reliable and
valid assessment tool screening individuals with gambling disorder for pre-emptive
treatment is of paramount importance. Nevertheless, in Hong Kong, the develop-
ment of gambling disorder treatment and research is still at an infant stage (Shek,
Chan, & Wong, 2013). This article will discuss the diagnostic criteria gambling
disorder listed in DSM-5 in Hong Kong context.
1.1 Gambling in Chinese Culture
Social-cultural influences can determine an individual’s health-related behaviours

(Stokols, 1996). In Chinese culture, it is convinced that small betting is fun, but
excessive betting ruins the mind (Wu & Lau, 2014). Gambling with small wagers is
acceptable and conceptualized as “game-playing” or “gaming” for entertainment
rather gambling. Some traditional games such “mah-jong” and “pai-ju” are even
deemed as cultural assets (Wu & Lau, 2014). In Chinese context, although
high-stakes gambling is inappropriate and greed for money is thought to be
unethical, “gaming” is widely socially acceptable. “Gaming” serves different social
functions (Steinmuller, 2011; Wu, Tao, Tong, & Cheung, 2012). Playing mah-jong
is an essential part of celebrations such as during a wedding reception. Even
children are allowed to bet on games with their adult family members during
Chinese New Year. It is believed to be an opportunity to foster interpersonal
connections (Steinmuller, 2011).
The Diagnostic Criteria of Gambling Disorder of DSM-5 … 75
1.2 Diagnostic Criteria of Gambling Disorder in DSM-5
According to the DSM-5, there are in total of nine diagnostic criteria for gambling
disorder, namely preoccupation with gambling; tolerance; loss of control; with-
drawal; escape gambling; chasing losses; lying about gambling behaviour; signif-
icant social, employment or education consequences; and seeking financial bailouts
(Weinstock et al. 2013). The threshold value is 4 out of 9 criteria. The severity
levels are classified into being: mild (4–5 criteria), moderate (6–7 criteria) and
severe (8–9 criteria). DSM-5 is a Guttman scale and a worldwide diagnostic
guideline for the helping professionals. On the other hand, as mentioned above,
gambling is culturally specific. At least, gambling exists with its unique features in
Chinese culture. The researchers were interested in how the DSM-5 gambling
disorder diagnostic criteria can be applied to Hong Kong Chinese context.
Moreover, the researchers were curious of the reliability and validity of the DSM-5
gambling disorder diagnostic criteria in Hong Kong Chinese context where the
corresponding diagnostic criteria could function as an accurate clinical assessment
screening individuals with gambling disorder.
2 Current Study
The current study aimed at investigating the reliability and the validity of the
DSM-5 gambling disorder diagnostic criteria using confirmatory factor analysis
(CFA) with weighted least square (Byrne, 1998; Kline, 2010) and item response
theory (IRT) by 2-parameter logistic regression Rasch model (2-PL model; Smith,
2004; Bond & Fox, 2007). Later on, the differential item functioning (DIF) between
samples with and without gambling disorder would be investigated. Descriptive
statistics were analysed using SPSS 22.0; CFA was investigated utilizing Lisrel
8.51; and the item parameter statistics and DIF were examined utilizing IRTPRO
2.1.
3 Methods
3.1 Participants
Data (N = 1694) for the analyses of the current study were retained from a total
2066 respondents to the street intercept survey. Among the 1694 respondents, 875
respondents (51.65%) were male while there were female; 593 respondents
(35.01%) were or below 17 years old while 1101 respondents (64.99%) were or
above 18 years old; 1085 respondents (64.05%) were students while 609 respon-
dents (35.95%) were not students; and 1574 respondents (92.92%) reported not
having gambling disorder while 120 respondents (7.08%) reported having gambling
disorder, i.e. the respondents’ accumulative scores in reference of the DSM-5
gambling disorder were equal to or higher than the threshold of four.
3.2 Measure
The survey was grounded on the nine diagnostic criteria for gambling disorder of
DSM-5 which is a dichotomous Guttman scale. “Yes” referred to presence of the
symptoms while “no” referred to absence of the symptoms. According to DSM-5,
the threshold number of symptoms is four. The severity levels are determined as
follows: mild (4–5 symptoms), moderate (6–7 symptoms) and severe (8–9
symptoms).
4 Result
The validity and reliability would be investigated in this session. Before CFA
analysis was conducted, the respondents had been classified into two groups: group
1—those who reported not having gambling disorder and group 2—those who
reported having gambling disorder. With the dichotomy of the dummy variable
having gambling disorder (0 = no, 1 = yes), multiple-indicator-multiple-cause
(MIMIC; Kline, 2010) modelling approach was employed. The model fitness of
a MIMIC-CFA model would be appropriate given that comparative-fitness index
(CFI) 0.95, goodness-of-fit index (GFI) 0.90 and standard root mean error
of approximation (RMSEA) 0.080 (Byrne, 1998; Hu & Bentler, 1999; Kline,
2010). The estimated model of the gambling disorder demonstrated acceptable
model fitness to the data, v2 (df = 35) = 521.13, RMSEA = 0.084, CFI = 0.95,
GFI = 0.95. The composite reliability (q; Fornell & Larcker, 1981; Raykov, 2009)
was 0.87 which illustrated the appropriate reliability. The CFA model is depicted in
Fig. 1.
As for item response theory (IRT), unidimensionality is an underlying assump-
tion (Bjorner, Kosinski, & Ware, 2003; Brown, 2006; Cook et al., 2007). The
aforementioned CFA result indicated that the nine diagnostic criteria of gambling
disorder would belong to a single factor model. The diagnostic criteria of gambling
disorder were analysed by IRT by using 2-PL Rasch model (Smith, 2004; Bond &
Fox, 2007). IRT utilizes probabilistic model to construct a questionnaire based on
the relationship between an individual’s response to a question and the individual’s
level on the construct (h) being measured by the scale. This relationship is condi-
tional in those individuals with higher probability of endorsing response categories
that are consistent with higher trait levels (Hambleton, Swaminathan, & Rogers,
1991; Bond & Fox, 2007). IRT also allows the responses (raw scores) from different
items representing different severity. Therefore, IRT model is that an individual’s
Fig. 1 MIMIC-CFA model of the diagnostic criteria of gambling disorder of DSM-5
response to any given item reveals a level of ability in the trait being measured. The
Rasch model aims at looking beyond a logistic function that relates the respondent’s
underlying traits and item difficulty to the probability of endorsing an item (Smith,
2004). Furthermore, item information function (IIF) is imperative to describing and
evaluating an assessment (Hambleton & Swaminathan, 1985). IIF highlights the
contribution of each item to the total assessment information and the consequences
of selecting a particular item independently from other items in the assessment
independently from other items in the assessment (De Ayala, 2009).
There were two groups classified for IRT analysis: group 1 referred to the
respondents reporting no gambling disorder. The goodness-of-fit indices are illus-
trated in Table 1. The item parameter statistics of group 1 and group 2 are tabulated
in Tables 2 and 3, respectively. The item information curves of every single cri-
terion of group 1 and group 2 are visualized in Figs. 2 and 3 correspondingly. The
total information curves of group 1 and group 2 are illustrated in Fig. 4.
Table 1 Table of the likelihood-based values and goodness-of-fit statistics

−2loglikelihood Akaike information Bayesian information
criterion (AIC) criterion (BIC)
Gambling 5421.16 5493.16 5688.81
disorder
Table 2 Item parameter Item a c b v2 df p

estimates and fit statistics of
2-PL model of gambling Criterion 1 1.80 −4.16 2.31 15.48 2 0.0004
disorder (group 1—normal Criterion 2 2.37 −5.06 2.14 25.05 2 0.0001
samples) Criterion 3 1.13 −4.71 4.18 15.05 2 0.0005
Criterion 4 2.01 −6.48 3.23 11.08 2 0.0039
Criterion 5 1.29 −4.23 3.28 13.01 2 0.0015
Criterion 6 1.52 −2.15 1.42 21.75 2 0.0001
Criterion 7 1.06 −4.03 3.79 12.45 2 0.0020
Criterion 8 0.74 −3.98 5.38 7.29 2 0.0261
Criterion 9 1.50 −6.20 4.14 11.63 2 0.0030
Table 3 Item parameter Item a c b v2 df p

estimates and fit statistics of
2-PL model of gambling Criterion 1 0.56 −1.01 1.81 12.77 4 0.0124
disorder (group 2—samples Criterion 2 −0.80 4.06 5.08 14.66 4 0.0055
reported having gambling Criterion 3 1.59 −4.43 −4.43 28.11 4 0.0001
disorder) Criterion 4 1.33 −3.90 2.94 23.45 4 0.0001
Criterion 5 2.57 −7.19 2.79 22.74 4 0.0001
Criterion 6 −0.27 2.45 9.22 17.74 4 0.0014
Criterion 7 3.81 −12.41 3.26 32.95 4 0.0001
Criterion 8 1.35 −4.27 3.17 39.21 4 0.0001
Criterion 9 4.42 −14.83 3.35 5.80 3 0.1215
Differential item functioning (DIF) refers to a psychometric difference in how an

item functions across groups. An item that performs differently must necessarily be
less valid, in some senses, for at least one of the groups. As a result, an effort to
detect and eliminate DIF from tests seeks to increase the validity of the test for all
groups (De Ayala, 2009). With respect to the detection of DIF, the expected value
curve (EVC) of the responses groups to an item was employed (Hagquist &
Andrich, 2015). DIF across different groups implies that for the same values of the
variable, and the EVC of the response to an item for members of the groups is
different. If the differences along the variables are homogenous, then the DIF is
referred to as uniform; otherwise, it is said to be as non-uniform (Hagquist &
Andrich, 2015), i.e. uniform DIF appears when responses to an item vary consis-
tently according to the respondents’ characteristic after allowing for the level of the
scale score. Non-uniform DIF emerges when the magnitude of such response dif-
ferences vary according to the level of the matching variable. The DIFs of all the
diagnostic criteria between two groups were examined by Wald test (Lord, 1980; as
cited in Cohen, Kim, & Baker, 1993). The DIF statistics are illustrated in Table 4.
The DIFs of all the corresponding items are visualized by the item characteristic
curves (ICCs) of Fig. 5. The item information curves of all the criteria demon-
strating DIF are visualized in Fig. 6.
Fig. 2 Item information curves of group 1 those who reported not having gambling disorder
Fig. 3 Item information curves of the gambling disorder diagnostic criteria for group 2 those who
report having gambling disorder
Fig. 4 Total information curves for group 1 and group 2

80
Table 4 Differential item functioning statistics for graded items of gambling disorder
Item numbers in: Total v2 df p v2a df p v2cja df p
Group 1 Group 2
(normal) (disordered gambler)
Criterion 2 Criterion 2 9.2 2 0.0102* 1.8 1 0.1855 7.4 1 0.0065**
Criterion 3 Criterion 3 5674.8 2 0.0001*** 2339.1 1 0.0001*** 3335.7 1 0.0001***
Criterion 6 Criterion 6 196.8 2 0.0001*** 193.0 1 0.0001*** 3.8 1 0.0516
Criterion 7 Criterion 7 10,804.2 2 0.0001*** 3800.0 1 0.0001*** 7004.1 1 0.0001***
Criterion 8 Criterion 8 956.2 2 0.0001*** 877.6 1 0.0001*** 78.5 1 0.0001***
Criterion 9 Criterion 9 7.1 2 0.0283* 6.1 1 0.0138* 1.1 1 0.3020
*p < 0.05, **p < 0.01, ***p < 0.001
W.-Y. Chui et al.
Fig. 5 Item characteristic curves of the diagnostic criteria demonstrating DIF between group 1
and group 2
Fig. 6 Item information curves of the diagnostic criteria demonstrating DIF between group 1 and
group 2
Referring to Table 4 and Fig. 5, the DIF analysis results indicated that group 2
respondents endorsed criteria 2, 3, 6, 7, 8 and 9 at significantly different baselines
because p-values for total v2 ðdf ¼ 2Þ were smaller than 0.05. Except criterion 2,
criteria 3, 6, 7, 8 and 9 of group 2 demonstrated significantly steeper slopes than
those of group 1. The p-values of v2a ðdf ¼ 1Þ of those criteria with steeper slopes
were smaller than 0.05. Integrating the DIF results and Fig. 5, it was found that
those items could discriminate the latent traits (gambling disorder symptoms) more
precisely for group 2 than for group 1 respondents. The results also illustrated that
criterion 6 and criterion 9 embodied significant uniform DIF, and the p-values for
v2cja ðdf ¼ 1Þ were larger than 0.05. On the other hand, criteria 2, 3, 7 and 8
demonstrated significant non-uniform DIFs, and the p-values for v2cja ðdf ¼ 1Þ were
smaller than 0.01.
5 Discussion
Although CFA and IRT study latent variables (De Ayala, 2009; Kline, 2010), they
offer us two different approaches to evaluate the scale, i.e. CFA provides us with
particular factorial structure of the entire construct which a scale assesses
(a top-down approach) while IRT evaluates an assessment on the item-by-item
basis (a bottom-up approach). In a sense, CFA and IRT are deemed complementary
to evaluate an assessment holistically.
Via CFA, the reliability and validity of the diagnostic criteria of gambling
disorder of DSM-5 were examined. According to the aforementioned CFA results,
the composite reliability (q) was 0.87 which was larger than the threshold value of
0.70 (Fornell & Larcker, 1981; Raykov, 2009). The diagnostic criteria of gambling
disorder were found to be a set of reliable assessment tools. The validity of the
diagnostic criteria of gambling disorder was found to be appropriate either, v2
(df = 35) = 521.13, RMSEA = 0.084, CFI = 0.95, GFI = 0.95. In accordance with
the MIMIC-CFA results, a respondent reporting having gambling disorder or not
could have a significant and positive contribution (c = 0.94, p < 0.001) to the latent
variable of “gambling disorder”, i.e. a respondent reported experiencing and
demonstrating four or more than four gambling disorder symptoms would be
conceptualized to have gambling disorder.
At item level, as for group 1 (those reported having no gambling disorder), the
item information curves of criteria 1, 2, 4 and 6 were relatively higher than other
criterion. In addition, the item information curves of all the diagnostic criteria were
negatively skewed, i.e. the means of the curves were larger than h = 0.00. It
indicated that the highest probabilities of the respondents endorsing the items
hinged upon those who rated themselves on the diagnostic criteria higher than the
mean response when compared to the samples’ normative response. In other words,
the diagnostic criteria were effective in discriminating those who experienced and
demonstrated some gambling symptoms, yet under the threshold. As for group 2
(those reported having gambling disorder), the item information curves of criteria 5,
7 and 9 were relatively higher than other criteria. Moreover, the researchers had
similar findings to those of group 1 in terms of skewness. As for group 2, the item
information curves of all the diagnostic criteria were negatively skilled. The total
information curves depicted in Fig. 6 indicated that the diagnostic criteria were
effective in discriminating respondents with more severe gambling disorder.
Integrating the aforementioned points, the diagnostic criteria were sensitive to
those with comparatively more gambling disorder symptoms. In clinical settings,
particularly in clinical interviews, a therapist might first adopt criteria 5, 7 and 9
since they would serve as a screening tool effectively discriminating an individual
with severe gambling disorder. If the individual reported “no” to criteria 5, 7 and 9,
the therapist could continue the interview with criterion 2 first as it was found to
have the highest item information function among criteria 1, 2, 4 and 6. Whenever
the individual reported “no” to criterion 2, the therapist could move on with criteria
1, 4 and 6 correspondingly. If the individual reported “no” to the aforementioned
criteria, the remnants could be retained as the individual had already been asked for
seven items. The individual would be diagnosed to be normal although the indi-
vidual reported “yes” to criterion 3 and criterion 8. The aforementioned questioning
procedure might serve as a quick screening test for normal population. With respect
to an individual with gambling disorder, the individual could also undergo the
aforementioned questioning procedure. Owing to the high item information func-
tions of criteria 5, 7 and 9, it would probably be a reminder for a therapist of the
client’s possible gambling disorder. Therefore, the therapist would better be more
attentive to the gambling disorder-related information whenever the client endorsed
criteria 5, 7 and 9.
With regard to the criterion demonstrating DIF, the item characteristic curves
visualized in Fig. 5 illustrated that the respondents reporting having gambling
disorder endorsed the diagnostic criteria of 6 and 9 at significantly higher baselines
when compared to the respondent reporting not having gambling disorder.
However, the respondents with gambling disorder endorsed the diagnostic criteria
of 2, 3, 7 and 8 at a significantly lower baseline when compared to the respondents
reporting not having gambling disorder. The respondents with gambling disorder
endorsed the corresponding diagnostic criteria with significantly higher likelihood
than those who reported no gambling disorder (group 1). As for criteria 3, 6, 7, 8
and 9 for group 2, as reflected by the item characteristic curves illustrated in Fig. 3,
they were more discriminant to respondents with gambling disorder than to those
who reported no gambling disorder. According to the item information curves
depicted in Fig. 6, the respondents within gambling disorder endorsed criteria 3, 6,
7, 8 and 9 to provide more information than the respondents reporting not having
gambling disorder did. As for criteria 2, 3 7 and 8, non-uniform DIF appeared
between respondents reporting having and not having gambling disorder. To
elaborate, an individual with mild gambling disorder would be less possible than
another individual without gambling behaviour to experience and demonstrate
gambling disorder symptoms 2, 3, 7 and 8. Meanwhile, an individual with severe
gambling disorder would be more prone to the aforementioned gambling disorder
symptoms than an individual without gambling disorder. An individual with
gambling disorder, regardless of the severity, would be more likely than another
individual without gambling disorder to experience and demonstrate symptom 6
and symptom 9.
6 Conclusion and Implication
There are cultural differences in gambling behaviours across Western and Chinese
cultures. DSM-5 is applied widely in Western context, and its diagnostic criteria for
gambling disorder have never been studied in Hong Kong context. The current
study examined the psychometric properties of the diagnostic criteria of gambling
disorder of DSM-5 in Hong Kong context. MIMIC-CFA result indicated that the
aforementioned diagnostic criteria were found to be a reliable and valid assessment
tool. IRT results illustrated that the aforementioned diagnostic criteria would be
effective in screening individuals with gambling disorder. Meanwhile, they would
be comparative less sensitive to individuals without gambling disorder. Although
they would serve as a efficacious clinical screening tool for those who already have
gambling disorder, they would not be an effective assessment tool for preventive
purpose. They would be relatively insensitive to those who might be at risk, i.e. the
total score is near but yet to reach the threshold. All in all, the diagnostic criteria of
gambling disorder of DSM-5 were found to be reliable and valid in Hong Kong.
7 Limitations
Several limitations should be taken into account when evaluating the current study.
First, the data collected in the current study were on the basis of self-report which
was void of observations of behaviours. The sampling size (N = 1694) suggested
that the potential biased errors were present and generalization to other samples
might be limited. The current study was fundamentally a cross-sectional survey in
Chinese culture. The research design was not a longitudinal study investigating the
causal effects among the variables. Hence, the causal relationships among the
currently studied variables might not be valid. Further interpretations must be made
carefully and modestly in the current study. In the future, a causal model of the
studied phenomenon should be established which could more elaborately portray
the mechanism for devising further therapeutic interventions. Furthermore, empir-
ical researches should be conducted to investigate the effectiveness of the afore-
mentioned interventions in terms of their impacts on the diagnostic criteria of
gambling disorder of DSM-5.
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Locus of Control and Sense of Happiness:
A Mediating Role of Self-esteem?
Ivanna Shubina
Abstract This study recruited 182 participants (126 female, 56 male) to complete a
survey consisting of three scales examining the relationship between self-esteem,
happiness, and locus of control (LOC) among high school students in Kuwait. It is
recognized that the relationship between self-esteem, happiness, locus of control is
complex: Internal LOC is related to rather high self-esteem; self-esteem is a
powerful and important psychological factor in mental health and well-being; the
feeling of being empowered is associated with significant achievements and high
self-esteem; and strong and appropriate self-esteem is correlated with more internal
LOC. A plenty of various empirical studies results have been analyzed in order to
establish theoretical basis for empirical study. Data were collected using Oxford
Happiness Questionnaire, Rosenberg Self-Esteem Scale, and Locus of Control
Scale (T. Petti). The purpose of this study is to investigate the mediating role of
self-esteem, exploring the relationships between self-esteem and happiness, and
self-esteem and LOC.
Keywords Self-esteem Happiness Locus of control Mediator
1 Introduction
Positive psychology has demonstrated increasing interest in recent years (Seligman

& Csikszentmihaly, 2000; Snyder & Lopez, 2002). In order to understand the
positive aspects of psychological achievements, researchers have explored indi-
vidual differences analyzing constructs such as self-esteem, happiness,
self-efficacy, hope, optimism, life satisfaction, and positive affect. Those scientific
concepts are examined by researchers independently within specific field, with
only occasionally comparatively study the connections between them. That is why
I. Shubina (&)
Liberal Arts Department, American University of Middle East, Eqaila, Kuwait
e-mail: ivannashubina@gmail.com
URL: http://www.aum.edu.kw

https://doi.org/10.1007/978-981-10-8034-0_6
88 I. Shubina
there are assumptions stating these constructs are to some degree truly conceptu-
ally and empirically distinct. Some theoretical models and definitions of happiness
are definitely different from theoretical models and definitions of self-esteem, and
the various models of locus of control are distinct from the various definitions of
self-esteem and happiness. However, the fundamental empirical distinctions among
the constructs are less clear, what makes it combinative analysis more challenging.
For instance, to what level do happiness, locus of control and self-esteem overlap,
relate or occur in cause-effect relationships, and do they have significantly different
sets of correlates? The few studies that have examined such overlap clearly
demonstrate that many of the constructs within positive psychology are strongly
intercorrelate.
The theoretical and empirical studies in the last 20 years have indicated that
self-esteem is a significant and powerful psychological factor in the quality of life,
health, and well-being. It is identified that the feelings of being worthy and
empowered are related to strong, high self-esteem which can result in positive
changes such as more efforts to gain success, achievements, being hard-working,
and tendency to have a better health status (Mann, Hosman, & Schaalma, et al.,
2004). Howard Mumford Jones once said that “happiness…belongs to that category
of words, the meaning of which everybody knows but the definition of which
nobody can give” (Freedman, 1978 in Lyubomirsky, 2006).
The main objective of current study is to examine the relationship between all
three concepts (happiness, locus of control, and self-esteem) from theoretical and
empirical perspectives. In particular, this study addresses the following broad
research questions:
• Is self-esteem just an index of global happiness?
• May happiness be possible or realizable without a healthy self-confidence and
self-acceptance?
• To what extent does self-esteem influence on the level of happiness?
• Is high self-esteem a sufficient condition for happiness?
• Is self-esteem is a strong predictor of internal locus of control maintenance?
• Is high self-esteem related to internal LOC, while low self-esteem to external
LOC?
2 Relationship Between the Basic Constructs
In many empirical studies, researchers from different fields were working on

examining the relationship between various variables significant for positive psy-
chology, including self-esteem, well-being, feeling of control, need for achievement,
personality, social support, and personal experience. The majority of studies were
searching for correlation between mentioned variables. Collected data in this matter
provided possibilities to create many assumptions related to the connection between
self-esteem, happiness, optimism, mindfulness, locus of control, etc. However,
Locus of Control and Sense of Happiness: A Mediating … 89
many studies provided controversial results, what makes difficult generalizing the
relationship between those variables and creates many research questions for further
studies.
In the following paragraphs, the most significant data attempting to describe the
relationship between happiness and self-esteem, happiness and locus of control,
happiness and self-esteem and locus of control are discussed. One of the milestone
issues is the role of self-esteem in human being’s life.
2.1 Relationship Between Self-esteem and Happiness
Intuitively, researchers associated happiness and self-esteem, considering them as

inextricably linked through the life experience, personal achievements or failures,
social support, etc. In everyday experience, happy individuals tend to consider
themselves as a worth empowered people, while people who experience deficit of
self-respect or self-worth consider themselves as unhappy. This assumption was
proved in many empirical studies, revealing moderate to high correlations between
measures of happiness and self-esteem (Campbell, 1990; Diener & Diener, 1999;
Lyubomirsky & Lepper, 1999; Schimmack, Oishi, Furr, & Funder, 2004). Whereas
few researchers would state that happiness and self-esteem should be considered as
synonymous, self-esteem is often used as an indicator of psychological well-being
or global happiness (Ryff, 1989).
Nonetheless, happiness and self-esteem are so intimately related that it is
extremely difficult to disconnect them conceptually. Actually, happiness may not be
recognized or achieved without a high but appropriate level of self-acceptance and
self-confidence. Furthermore, Ryff (1989) deduced that the most iterative criterion
for positive well-being is the individual’s feeling of self-esteem or self-acceptance
(Myers, 2002; Diener, 1999). On a contrary, happiness and self-esteem are con-
sidered as discriminable and distinct constructs. Albeit, some models conceptual-
ized self-esteem as adaptive and crucial construct for happiness, they do not provide
a congruent characterization of happiness and may be dissimilar to many of the
individual’s happy or unhappy experiences (Parducci, 1995). However, indicators
such as a high income, a prestigious job, or a good marriage do not guarantee
happiness (Diener, Suh, Lucas, & Smith, 1999), as well as high self-esteem is not
an adequate condition for happiness. Consecutively, this approach may help justify
why the relationship between self-esteem and life satisfaction (as a happiness index)
fluctuates in collectivist versus individualist cultures (Diener & Diener, 1999).
Additionally, Lucas, Diener, and Suh (1996) conducted a complex study aiming
systematical analysis of the association between self-esteem and psychological
well-being, applying multitrait-multimethod matrix analyses to demonstrate that life
satisfaction is empirically recognizable from self-esteem (Diener & Diener, 1999).
Discussing the differentiation between happiness and self-esteem, a study by
Hermans (1992) has to be analyzed. Hermans provides some insight into the nature
of the distinction between the two constructs, underlining that although self-esteem
90 I. Shubina
and happiness are positively correlated with each other, the correlation is not per-
fect. That is why some individuals have relatively low levels of happiness but
relatively high levels of self-esteem (and vice versa).
Hermans’ (1992) findings suggest that the difference between happiness and
self-esteem might be related to the two fundamental interpersonal dimensions of
agency and communion (Wiggins & Trapnell, 1996). Agency refers to individua-
tion, with one end of the dimension representing submissiveness and the other end
reflecting dominance and ambition. Communion refers to the affiliative nature of
individual’s behavioral patterns and motivations, where one end of the dimension
represents a tendency to be hostile, aloof, and cold, while the other end reflects an
orientation toward social acceptance and warmth (Wolfe, Lennox, & Cutler, 1986).
Furthermore, these two core dimensions have consistently appeared in gender
comparative research, including studies of gender differences in happiness,
well-being, and self-esteem. Admittedly, Hermans’ findings imply that self-esteem
is aligned with agency, while happiness is aligned with communion.
Despite special attention paid to happiness and self-esteem among modern
studies, there are only a few include analyses of self-esteem as a significant
mediator in relationship to happiness. In this terms, extremely interesting was
discovered in study by Baron and Kenny (1986), in which self-esteem and
self-criticism are examined as mediator variables between parenting style and
happiness. Unfortunately, not too many studies have been conducted on the rela-
tionships between self-esteem and happiness, what indicates the necessity of futher
attempts to examine that relatioship.
2.2 Relationship Between Self-esteem and Locus of Control
Basically, locus of control and self-esteem are contemplated as socially learned and
self-developed life attitudes. Subsequently, internal locus of control is characterized
as a belief that events are dependent on one’s own permanent traits or behavior,
while external locus of control is defined as a belief that outcomes are the result of
luck, fate, chance, or control of powerful others or are unpredictable due to the
complexity of situations (Rotter, 1990). Moreover, individuals with an internal
locus of control consistently engage in adaptive and proactive behaviors
(Rothbaum, Weisz, & Snyder, 1982).
In addition, Rotter (1990) advocated that this perception of personal control
could be best conceptualized as the extent to which an individual develops the
expectancy that one’s behavior is associated with either external or internal rein-
forcements. Consequently, he argued that individuals with an internal locus of
control were more likely to believe that they had control in most situations or
influence on their own behavioral outcomes. On a contrary, Rotter advocated that
individuals who are possessing an external locus of control tended to believe that
situations were controlled by external factors.
Contrariwise, high self-esteem demonstrates strong association with internal
locus of control, or in other words, the highly confident individual perceives that
own outcomes are determined by own actions (Whisman & Kwon, 1993).
Additionally, person with high confidence level and control over own life is asso-
ciated with the ability to adjust to repeated psychosocial stress, while individuals
with low confidence and external locus of control create a relationship with con-
tinuous high cortisol stress responses (Kirschbaum, Bartussek, & Strasburger, 1992).
2.3 Relationship Between Self-esteem, Happiness,

and Locus of Control
Judge and Bono (2001), Judge, Erez, Bono, & Thoreson, (2002) investigated the
empirical overlap among self-esteem, locus of control, self-efficacy, and emotional
stability, and they conclude that “these traits are indistinct measures of the same
core trait,” which they refer to as core self-evaluations (Judge & Bono, 2001,
p. 108; Judge et al., 2002). Similarly, Furr and Funder (1998) proved that measures
of happiness, life satisfaction, depression, and self- esteem are significantly corre-
lated with each other and laden on a single factor.
Consequently, acknowledging the significance of empirical overlap among the
miscellaneous constructs related to positive psychology, researchers have recently
admitted the need to explore the differences among those constructs. Subsequently,
in a theoretical review of individual differences in happiness, Lyubomirsky (2001)
declared that an important question for researchers to consider is whether the
empirical findings in the happiness literature “reflect the role of chronic happiness,
rather than that of self-esteem, optimism, extraversion, feeling of control, sensitivity
to reward, or other individual difference constructs … related to happiness”
(p. 244).
Despite the recent attention paid to self-esteem, locus of control, and happiness,
independently, both empirical and theoretical equivocations within each resource
make many clear impossible predictions about the nature of their empirical dis-
tinction. Furthermore, in terms of theoretical framework, no model has reached
consensus as a definitive theoretical approach for either locus of control, happiness,
or self-esteem.
3 Methodology
3.1 Hypothesis
This study examined the relationships between self-esteem, happiness, and locus of
control, accenting on mediating effects of self-esteem.
H1: Self-esteem, happiness, and locus of control are significantly interrelated.
H2: Self-esteem is positively related to locus of control.
92 I. Shubina
H3: Self-esteem is positively related to happiness.

H4: Gender has a significant influence on the relationships between self-esteem
and happiness, self-esteem and locus of control.
3.2 Measures
Participants were asked to complete all of the following scales: Locus of Control
Scale, Oxford Happiness Questionnaire, and Rosenberg Self-Esteem Scale.
To measure Locus of control, I used the self-rating scale developed by Terry
Petti John test based on Rotter’s original idea. Rotter (1966) devised a locus of
control personality test to assess the extent to which an individual possesses internal
or external reinforcement beliefs. The response format of this measure is a true or
false scale. The 20 items of this test measure two types of locus of control: internal
and external.
Feeling of happiness was measured using the Oxford Happiness Questionnaire
(OHQ), a 29-item questionnaire, based on a seven-point rating scale from (7) agree
through to (1) disagree. It has a test–retest reliability of 0.78 and a Cronbach’s alpha
coefficient of between 0.64 and 0.87. It has a reported validity of 0.43 with friend’s
ratings of happiness on a 10-point scale. It also correlates with positive affect, life
satisfaction, and depression at r = 0.40–0.60. High scores indicate high state
happiness.
To measure self-esteem, I used Rosenberg Self-Esteem Scale (Rosenberg 1965),
a 10-item scale designed to measure adolescents’ global feeling of self-worth or
self-acceptance. It has claimed a test–retest reliability of 0.85. It rated on a
four-point scale from (1) strongly agree through to (4) strongly disagree, for ten
statements designed equally to be positive and negative. Interpretation: a higher
score = External Locus of Control; a lower score = Internal Locus of Control. It is
one of the most well-used measures to assess self-esteem because of the proven
construct, concurrent, and predictive validity (Blascovich and Tomaka 1991).
Rosenberg (1979) reported that the scale is correlated modestly with mood
measures.
3.3 Participants
Data were collected among high school students of 18–19 years old in Kuwait. The
survey was distributed to 221 students; subsequently, 182 usable replies were
received.
3.4 Procedure
Participants were invited to participate in study on a voluntary basis. The ques-

tionnaires delivered to the participants were in English language. The whole process
of answering took about 30 min to complete. There were no problems with neither
understanding the purpose of survey nor instructions and questions of each scale.
4 Results
In this part, the most significant results are going to be presented, including
descriptive statistics, correlation, partial correlation, and ANOVA. For statistical
analysis, SPSS was applied. Table 1 shows the descriptive statistics on gender: 126
female and 56 male.
Table 2 presents descriptive statistics on the basic constructs, respectively,
self-esteem, locus of control, and happiness, including mean and standard devia-
tion. Based on the presented data, it is possible to have a general conclusion
regarding the following gender differences:
Table 1 Descriptive statistics of the main study

Frequency Percent Valid percent Cumulative percent
Valid Female 126 57.0 69.2 69.2
Male 56 25.3 30.8 100.0
Total 182 82.4 100.0
Missing System 39 17.6
Total 221 100.0
Tables 2 Descriptive Construct Gender Mean Std. N

statistics for each of the deviation
measured construct with
gender differentiation Self-esteem Female 20.03 3.974 126
total Male 18.59 3.855 56
Total 19.59 3.983 182
LOC total Female 60.87 11.209 126
Male 60.89 15.554 56
Total 60.88 12.660 182
Happiness— Female 4.152 0.5434 126
total Male 3.851 0.5882 56
Total 4.059 0.5731 182
94 I. Shubina
• There is no difference between groups in LOC (male group M = 60.89, female

group M = 60.87),
• there is a difference in sense of happiness—in male group, the level of happiness
is lower (male group M = 3.851, female group M = 4.152), and
• there is a difference in self-esteem—in male group, the level of happiness is
lower (male group M = 18.59, female group M = 20.03).
Table 3 demonstrates correlation results between self-esteem, locus of control,
and happiness in two different gender groups.
The relationships between self-esteem, happiness, and locus of control were
investigated using Pearson correlation coefficient. Preliminary analyses were per-
formed to ensure no violation of the assumptions of normality, linearity, and
homoscedasticity. The strong positive correlation was discovered in both female
and male groups. Among women, the positive correlation is discovered between
happiness and self-esteem (r = 0.389, n = 126, p < 0.01), happiness and locus of
control (r = 0.392, n = 126, p < 0.01). In a male group of participants, self-esteem
Table 3 Correlation of self-esteem, locus of control, and happiness among male and female
Gender Self-esteem LOC Happiness—
total total total
Female Self-esteem Pearson 1 0.167 0.389**
total correlation
Sig. (2-tailed) 0.061 0.000
N 126 126 126
LOC total Pearson 0.167 1 0.392**
correlation
Sig. (2-tailed) 0.061 0.000
N 126 126 126
Happiness— Pearson 0.389** 0.392** 1
total correlation
Sig. (2-tailed) 0.000 0.000
N 126 126 126
Male Self-esteem Pearson 1 0.525** 0.642**
total correlation
Sig. (2-tailed) 0.000 0.000
N 56 56 56
LOC total Pearson 0.525** 1 0.477**
Correlation
Sig. (2-tailed) 0.000 0.000
N 56 56 56
Happiness— Pearson 0.642** 0.477** 1
total correlation
Sig. (2-tailed) 0.000 0.000
N 56 56 56
**Correlation is significant at the 0.01 level (two-tailed)
was positively correlated with locus of control (r = 0.525, n = 126, p < 0.01) and
happiness (r = 0.642, n = 126, p < 0.01), locus of control with happiness
(r = 0.477, n = 126, p < 0.01).
To be able to answer the question of how much variance those constructs share,
the coefficient of determination was calculated. In case with women group,
self-esteem helps to explain nearly 15% of the variance in respondent’s scores on
perceived happiness and locus of control, and locus of control explains nearly 15%
of the variance in respondent’s scores on perceived happiness and self-esteem. In
group of male participants, self-esteem allows to explain nearly 23% of the variance
in respondent’s scores on perceived happiness and locus of control. Additionally, in
male group, locus of control helps to explain nearly 42% of the variance in
respondents’ scores on perceived happiness and self-esteem. Finally, happiness
helps to explain nearly 28% of the variance in respondent’s scores on perceived
self-esteem and locus of control.
Table 4 shows partial correlation between self-esteem, happiness, and locus of
control investigating the role of each in controlling the relationships between the
other two variables.
Partial correlation was used to explore the relationships between each pair of
three basic constructs with controlling role of each of them over the other pair of
Table 4 Partial correlation between self-esteem, happiness, and locus of control

Control Variables LOC Happiness Self-esteem
total —total total
-None-a LOC total Correlation 1.000 0.410 0.292
Significance . 0.000 0.000
(2-tailed)
df 0 180 180
Happiness - Correlation 0.410 1.000 0.489
total Significance 0.000 . 0.000
(2-tailed)
df 180 0 180
Self-esteem Correlation 0.292 0.489 1.000
Total Significance 0.000 0.000 .
(2-tailed)
df 180 180 0
Self-esteem LOC total Correlation 1.000 0.320
total Significance . 0.000
(2-tailed)
df 0 179
Happiness— Correlation 0.320 1.000
total Significance 0.000 .
(2-tailed)
df 179 0
a
Cells contain zero-order (Pearson) correlations
96 I. Shubina
variables. There was a strong positive correlation between locus of control and
happiness (r = 0.320, n = 182, p < 0.000), self-esteem and happiness (r = 0.424,
n = 182, p < 0.000), and locus of control and happiness (r = 0.115, n = 182,
p < 0.000). An inspection of the zero-order correlation (r = 0.410, 0.489, 0.292,
respectively) suggested that controlling for locus of control has very low effect on
the strength of the relationship between happiness and self-esteem, while
self-esteem has a moderate effect on the relationships between happiness and locus
of control, and finally happiness has quite high effect on the relationships between
self-esteem and locus of control.
In order to investigate the interrelation between self-esteem, happiness, and
locus of control, hierarchical multiple regression was performed. Tables 5, 6 and 7
show the ANOVA results, where dependent variable is self-esteem, and the inde-
pendent variables were happiness and LOC.
Table 5 shows model summary of the regression for measured variables. It
shows that model as a whole explains 49.9% of variance (Pearson
R = 0.499 100%). Happiness and LOC explain additional 24.9% of variance
(R2 = 0.249 100%) even when the effects of self-esteem are statistically con-
trolled for.
Table 6 shows the relationship between dependent variable that is self-esteem
and two independent variables that is happiness and locus of control (LOC).
According to findings related to regression, residual value calculated. The results
show that self-esteem depends on level of happiness, but LOC does not depend on
happiness level (F: p-value < 0.05). The hypothesis H1 accepted because of the
significance of relationship between dependent and independent variables.
Table 7 shows the measurement ratio (B/Std. Error) of coefficient and standard
error in the given data set (above table). It shows the level of each variable’s
contribution to the final equation. According to the findings of t-value for
self-esteem found by calculating the B/Std. Error equation which is
Table 5 Model summaryb

Model R R2 Adjusted R2 Std. error of the estimate
a
1 0.499 0.249 0.241 3.471
a
Predictors: (constant), happiness—total, LOC total
b
Dependent variable: self-esteem total
Table 6 ANOVAa
Model Sum of squares df Mean square F Sig.
1 Regression 715.511 2 357.756 29.694 0.000b
Residual 2156.582 179 12.048
Total 2872.093 181
a
Dependent variable: self-esteem total
b
Predictors: (constant), happiness—total, LOC total
Table 7 Coefficients
Overall B Std. error Beta T Significance
1 (Constant) 4.958 1.923 2.579 0.011
LOC total 0.034 0.022 0.110 1.543 0.125
Happiness—total 3.087 0.494 0.444 6.255 0.000
4.958/1.923 = 2.579, respectively, other values would be 1.543 for LOC and 6.255
for happiness. Only happiness is significant (0.000 < 0.005); LOC is not significant
(0.125 > 0.005). The significance of measured variables is demonstrated as
y = 4.958 + 0.034 (LOC) + 3.087 (happiness). To sum up, there is only one
variable that makes a statistically significant contribution—happiness, while LOC
did not make a unique contribution.
5 Discussion
The purpose of this study was to examine the relationships between self-esteem,
perceived happiness, and locus of control. The current research study can relate to
other studies, which supports the relationships between three constructs. This study
stands out from others in that it sought to examine the correlation between
self-esteem and happiness, self-esteem and LOC among male and female in
Kuwait, trying to identify whether self-esteem is playing a mediating role.
While significant results and correlations were found, limitations were present as
well. One of the limitations of the study that may have affected the results was small
sample of male participants, which did not allow for a full representation of all high
school students. Additionally, the survey should include more demographic infor-
mation, such as age, education profile, and family status for descriptive statistical
purposes.
The first prediction was that self-esteem, happiness, and locus of control are
significantly interrelated. The results showed that there was a statistically significant
correlation between all three constructs: Those who reported higher self-esteem also
reported higher sense of happiness rather internal LOC. However, stronger rela-
tionships are noticed between self-esteem and happiness in comparison with
self-esteem and LOC. There is high correlation between happiness and LOC, as well
as happiness and self-esteem. Results of previous research studies (e.g., Judge &
Bono, 2001; Judge et al., 2002; Furr & Funder, 1998) investigated the empirical
overlap among self-esteem, locus of control, and happiness and concluded that these
constructs are significantly correlated with each other and combined in a single factor.
Another hypothesis that was presented prior to research was that self-esteem is
positively related to locus of control. The results indicated a statistically significant
relationship between self-esteem and LOC among male participants, where students
reported having high self-esteem and rather internal or both internal and external
98 I. Shubina
LOC. Results of other studies (e.g., Whisman & Kwon, 1993; Kirschbaum et al.,
1992) demonstrated strong relationship between high self-esteem and internal locus
of control, as well as person with high confidence level and control over own life is
associated with the ability to adjust to repeated psychosocial stress. Alizadeh (2004)
discovered a positive significant correlation between self-esteem and internal LOC,
but no significant relationships between self-esteem and external locus of control.
This hypothesis was proved partly. This could be because of society in Middle East
has more gender-based differences.
Next prediction was that self-esteem is positively related to happiness. The
results showed that there was a statistically significant correlation between
self-esteem and happiness in both male and female groups. Results of previous
studies (e.g., Argyle, 2001; Myers, 2002) showed that traits such as self-esteem and
personal control were associated with happiness, what suggests considering these
features as elements of happiness. Other similar studies (Hermans, 1992; Diener
et al., 1999) conceptualized self-esteem as a component of overall satisfaction with
life and sub-component of subjective well-being. The Oxford Happiness Inventory
contains also self-esteem as the major dimensions of well-being (Argyle, 2001).
This prediction was supported positively.
The last hypothesis was that gender has a significant influence on the relation-
ships between self-esteem and happiness and between self-esteem and locus of
control. Other studies (e.g., Heatherton, 1991; Luhtanen & Crocker, 1992) stated
that self-esteem is indissoluble from social environment and influenced by cultural
and social norms and values in which people are raised, and some people may
experience collective self-esteem because they are tended to establish their
self-esteem on their social identities. Furthermore, some studies (e.g., Hermans,
1992) showed that gender has differentiating influence in comparative research on
happiness and self-esteem.
Discussion about the mediating role of self-esteem can be extended on theo-
retical and empirical background. A number of studies that have been discussed in
this paper were analyzed the self-esteem as the dependent variable rather than the
independent or classification one. Consequently, these studies assume that
self-esteem can be temporarily affected. As a result, fluctuations in state of
self-esteem are related to reliance on social judgments, increased sensitivity, and
concern about how others view the self and even hostility and anger. Besides, those
with a weak sense of self-esteem respond extremely favorable to positive feedback,
while extremely protective to negative feedback. It could be said that social per-
ception and judgments are extremely influential in such a small country like
Kuwait, Middle East Region.
6 Conclusion
This study was an attempt to examine the currently most widespread research areas
—happiness, self-esteem, and locus of control—and to find the possible answer to
the question of the mediation or determination of self-esteem in relationship to
happiness and locus of control. It was expected that there is a strong correlation
between all three analyzed concepts with attributing a special mediating role to
self-esteem.
Regardless the lack of consensus agreement in general model of happiness, it is
commonly conceptualized in terms of pleasant affective experience that can appear
as a relatively stable individual difference or as an emotional state. Similarly, no
single model of self-esteem has been accepted, and none occurs to integrate
self-esteem with happiness.
It is recognized that the relationships between locus of control, happiness, and
self-esteem are complex. There are plenty of researches conducted on each of those
variables separately but in relationship to some other variables like personality, job
satisfaction, creativity, and mental health, which provided a background for the
basic hypothesis of this study: Self-esteem performs as a mediator in relationship to
happiness and locus of control. Analyzed data allowed to find answers for the
research questions. Examined findings indicated that there are different relation-
ships between mentioned constructs, among which the most significant are listed
below:
• Self-esteem can be defined as an attitude or belief about own abilities and
importance, as a global feeling of self-worth, as an indicator of involvement into
significant groups and relationships, and as an indicator of psychological
well-being or global happiness;
• self-esteem is considered as most iterative criteria for positive well-being, per-
forming as adaptive and crucial construct for happiness; however, high
self-esteem is not an adequate condition for happiness;
• self-esteem and happiness are positively correlated with each other, but that
correlation is not perfect, meaning in reality some individuals have relatively
high self-esteem but relatively low level of happiness;
• self-esteem demonstrates strong association with internal locus of control;
• significant correlation between internal locus of control and happiness might be
influenced by other variables; and
• gender demonstrates significant differences in well-being, happiness, and
self-esteem.
Discussed theories and analyzed data indicate important research areas; requiring
focusing on formulation of research questions for the future studies is related to the
following statements:
• are self-esteem dimensions (global, social, performance, and physical) make
measurement of its role in mediating feeling happy and self-powerfulness more
precise;
100 I. Shubina
• to which extent personality and social context are variables influencing

self-esteem, happiness, and LOC;
• to which extent locus of control is correlated with person’s well-being, emo-
tional happiness, and ability to cope with stress;
• if the difference between happiness and self-esteem can be strictly related to the
two fundamental interpersonal dimensions of communion and agency,
respectively.
To be able to state more precisely about mediating role of self-esteem, the further
studies have to be conducted in a way that results will be applicable in a larger
social practice with considering more variables influencing that role.
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Factors That Influence the Training
Transfer and Maintenance of Conflict
Resolution Programs of Healthcare
Training and Development Units:
A Retrospective Study
Sonya Vandergoot, Aspa Sarris and Neil Kirby
Abstract Conflict resolution skills are important for all healthcare professionals.
Conflict and miscommunication can have detrimental effects on decision-making,
potentially impacting on patient-care, morbidity and mortality, making upskilling of
health professionals’ conflict resolution skills important. However, research sug-
gests only around 10–15% of training knowledge and skills transfers to the
workplace, making training a seemingly poor investment. Via a retrospective online
survey, this study examined factors associated with the transfer and maintenance of
conflict resolution skills of medical officers and healthcare professionals who
undertook relevant training. The results of multivariable linear regression analyses
showed that 77% of the variance was predicted for training transfer and 42% for
training maintenance predominantly by individual (e.g. emotional intelligence and
motivation) and organisational transfer climate factors (e.g. support and goal-setting
cues). These results have implications for healthcare organisations in regards to
how they motivate and support staff before and after training to increase transfer
and maintenance of conflict resolution skills.

Keywords Transfer of learning Conflict resolution Motivation

Emotional intelligence Organisational transfer climate
S. Vandergoot (&) A. Sarris N. Kirby

School of Psychology, University of Adelaide, Adelaide, SA, Australia
e-mail: sonya.vandergoot@adelaide.edu.au
A. Sarris
e-mail: aspa.sarris@adelaide.edu.au
N. Kirby
e-mail: neil.kirby@adelaide.edu.au

https://doi.org/10.1007/978-981-10-8034-0_7
104 S. Vandergoot et al.
1 Introduction
Conflict resolution skills are important for all healthcare professionals as conflict
and miscommunication in healthcare settings can have detrimental effects on
decision-making, potentially impacting on patient-care, morbidity and mortality,
thereby making it important to upskill health professionals’ conflict resolution
skills. For example, research of decisions to limit life-sustaining treatment in
intensive care units found conflict in 78% of 102 consecutive cases, with 48% of
cases identified as clinician–family conflict and 48% of cases identified as
clinician–clinician conflict (Back & Arnold, 2005; Katz, 2007). Back and Arnold
(2005) also cite an informal poll of physician executives who indicated that they
spent “at least 20% of their time dealing with conflict” (p. 1375). Gilin Oore, Leiter
and LeBlanc (2015) concur, stating that business managers and leaders in Canadian
organisations spend an average of 7.5 h between direct interventions on, and
worrying about, workplace conflict every week. On top of this, research suggests
that workplace conflict is most likely underreported (Back & Arnold, 2005).
According to Gilin Oore et al. (2015), poorly handled workplace conflict is
common and costly in both economic and social terms. Research has shown that
teams with high relationship conflict tend to have greater staff turnover, absen-
teeism, work dissatisfaction and reactivity to job stressors, as well as lower team
productivity, compared to teams with lower relationship conflict (Gilin Oore et al.,
2015). In a review of conflict communication causes, costs, benefits and inter-
ventions in nursing, Brinkert (2010) listed several effects of conflict such as burnout
(33% of intensive care nurses in France had severe burnout syndrome associated
with conflict). The costs of nurse–physician conflict included medication errors,
patient injuries and patient deaths. Other costs listed included the direct costs of
litigation, lost management productivity, employee turnover, disability and worker
compensation claims, regulatory fines, increased care expenditures to handle
adverse patient outcomes and intentional damage to property. Indirect costs of
conflict included individual emotional impairment and damage to team morale,
costs to patients and increased incidence of disruptive behaviour by organisational
personnel (Brinkert, 2010).
Conflict resolution training has the potential to improve the communication
skills of healthcare staff; however, there is a lack of research evaluating the
effectiveness of conflict resolution training in healthcare settings, including the
extent to which skills learnt are transferred to the workplace (Lee et al., 2008).
Transfer of learning is defined as the effective and continuing application of
knowledge, skills and attitudes (KSA) learned or acquired from training to the
workplace with subsequent generalisation and maintenance of these KSA (Baldwin
& Ford, 1988). In health professionals’ continuing education, transfer of learning is
particularly important because of the risk to patient health due to preventable
medical errors which account for up to 98,000 patient deaths and costs of $17–$29
billion per year in the USA alone (Gitonga, 2007). Yet several researchers
Factors that Influence the Training Transfer and … 105
(e.g. Gitonga, 2007; Lee et al., 2008; Zweibel, Goldstein, Manwaring, & Marks,
2008) highlight that little is known about whether the conflict resolution skills
taught are subsequently transferred to (i.e. utilised in) healthcare. Other transfer of
learning studies quotes only a 10–15% return on investment in work performance
of the billions of dollars spent worldwide on staff training and development
(Baldwin & Ford, 1988; Gitonga, 2007; Kontoghiorghes, 2002), making training a
seemingly poor investment.
Training effectiveness is not only about the training content and the quality of
the training methods used (Ascher, 2013), but also relies on other factors such as
the trainees’ ability and motivation, and the organisational environment and transfer
climate before, during and after training to support effective transfer of newly learnt
knowledge and skills to the workplace (Baldwin & Ford, 1988; Chiaburu, Van Dam
& Hutchins, 2010; Thayer & Teachout, 1995). Key factors that have been identified
include trainee motivation, including intrinsic motivation, motivation-to-learn and
motivation-to-transfer (Colquitt, LePine, & Noe, 2000; Noe & Schmitt, 1986;
Sankey & Machin, 2014); self-efficacy (Gegenfurtner, Veermans, Festner, &
Gruber, 2009); organisational commitment (Daffron & North, 2006); opportunity to
use the skills learnt (Holton, Bates, & Ruona, 2000); and the organisational culture
and climate that may support or inhibit the transfer of learning to the workplace
(Chiaburu, Van Dam, & Hutchins, 2010; Holton, Bates, Seyler, & Carvalho, 1997;
Thayer & Teachout, 1995). Ascher (2013) explains that the work environment and
its transfer climate include the actions, situations or consequences that encourage or
prevent the transfer of training KSA to the workplace. Holton et al. (1997) suggest
that these are mediating factors between the organisational context and an indi-
vidual’s attitude towards their workplace, which then encourages or discourages the
utilisation of new skills. Research suggests that healthcare organisational culture
and climate may be part of the issue regarding how healthcare workers resolve
conflict. For example, Zweibel et al. (2008) point out that systemic problems in
healthcare settings, such as time and resource pressures, hierarchies within and
between several healthcare professions, intergenerational differences in what
knowledge and skills are deemed important, and physicians’ preference for
autonomy, are aspects of organisational culture and climate that all have the
potential to increase conflict. Kaufman (2011) concurs and argues that conflict is
inevitable due to these healthcare systemic issues. Hence a better understanding of
how organisational culture and climate influence the transfer of newly acquired
conflict resolution skills is needed.
One factor that has not been studied in relation to transfer of conflict resolution
skills, yet is consistently found to be important and associated with these skills
(Jordan & Troth, 2002), is emotional intelligence. Goleman (1995) defined emo-
tional intelligence (EI) as the ability to be aware of, and engage with, one’s own and
others’ emotions more constructively. Wong and Law (2002) outline different
dimensions of EI: being able to appraise, express and regulate one’s own emotions,
appraise and recognise emotions in others, and being able to use emotions effec-
tively and constructively. High EI allows people to engage in interpersonal inter-
actions such as conflict more competently (Schreier, 2002). EI theorists suggest that
highly emotionally intelligent individuals will have superior conflict resolution

skills, engage in greater collaboration and adopt a range of conflict resolution styles
adaptively according to the situation compared to individuals with low emotional
intelligence (Jordan & Troth, 2002). These findings are supported by a study by
Ayoko, Callan and Härtel (2008) which found that teams that were less able to
manage their emotions reported more conflict as well as higher conflict intensity.
They also found that teams in conflict but with lower levels of team EI reported
more destructive reactions to conflict. Some researchers have argued for the need to
incorporate EI skills in conflict resolution training as a way of improving organi-
sational interpersonal skills or improving transfer of conflict resolution skills
(Dearborn, 2002; Jordan & Troth, 2002). However, the impact of EI on training
transfer has not been examined despite many studies into EI and conflict man-
agement (refer to meta-analysis by Schlaerth, Ensari & Christian, 2013).
This retrospective study was conducted to examine the training transfer and
maintenance of conflict resolution skills from training programs conducted by two
Australian healthcare training and development units, targeting primarily nurses and
medical registrars. The aim was to explore which individual, training and organi-
sational factors influence the transfer and maintenance of conflict resolution skills in
the context of healthcare. Based on the above research, it was hypothesised that:
1. Individual factors measured (i.e. self-efficacy, emotional intelligence, organisa-
tional commitment, intrinsic motivation, motivation-to-learn and motivation-to-
transfer) will be positively associated with training transfer and maintenance;
2. The training factor length of training will be positively associated with training
transfer and maintenance (i.e. as length/hours of training increases, transfer and
maintenance levels will increase);
3. The training factor time since training will be negatively associated with
training transfer and maintenance (i.e. as more time passes since training was
completed, transfer and maintenance levels will decrease); and
4. Organisational climate factors measured such as opportunity-to-use, organisa-
tional support, social cues and goal-setting cues will be positively associated
with training transfer and maintenance.
2 Method
2.1 Conflict Resolution Training Programs
Training programs on conflict resolution offered by two Australian healthcare

training and development units were included in this retrospective study. The
two training units offered training to different staff within the same Australian
healthcare system: one targeted the medical profession (e.g. medical registrars) and
the other targeted nurses, although allied health, administration and corporate
learners were able to access some programs. For clarity, the participants from the
first unit will be referred to as Medical and those from the later as Professions.
Conflict resolution training length/duration varied amongst the conflict resolu-
tion training offered, from 2.5 h to five days, depending on whether it was a
stand-alone conflict resolution training or a component of a larger program. The
longer training courses (two to five days) tended to be programs that included a
conflict resolution component; for example, one of the training programs included
in the study was a five-day nursing leadership program which included a three-hour
conflict resolution component.
Three training programs offered to registrars (Medical group) are included in this
study, namely Professional Development Program for Registrars (PDPR) (2.5 h
conflict resolution component within a two day program) (N = 111); Next Steps
(2.5 h conflict resolution component within a one day program) (N = 14); and
Managing Workplace Conflict (2.5 h conflict resolution program) (N = 13). Note
that the Next Steps program was only offered to medical officers and registrars who
had completed the PDPR. Training programs included in this study that were
offered to the Professions group are as follows: Conflict resolution in the workplace
(1 day) (N = 36), Respond effectively to difficult and challenging behaviours (3 h)
(N = 95), Leadership and management for Registered Nurses-level 2 (three hours
of four-day program) (N = 96), Leadership and management for Registered
Nurses-level 3 (three hours of five-day program) (N = 20) and Enhancing positive
team culture (3 h) (N = 93), all of which either concerned or had a component
regarding conflict resolution.
2.2 Methodology
Staff who had completed the eligible training within the past three years were
emailed by their respective training units on behalf of the researchers. They were
asked to complete an online survey regarding the conflict resolution program/
session they had attended. An information sheet explaining the study was included
in correspondence. Consent was obtained as part of the online survey process.
Email reminders regarding survey completion were sent twice following the orig-
inal email. For the Professions group, on receiving feedback from the organisation
regarding low staff usage of email, hardcopy surveys were posted out to all eligible
participants with addresses on file.
2.3 Data Collection
Participants. Eligible participants were staff who had completed a conflict reso-
lution training program or component as outlined above (Medical N = 133 emailed
from 138 cohort; Professions N = 328 emailed from a cohort of 340; plus hardcopy
Table 1 Descriptive statistics for independent categorical variables (N = 41)

Variables Professions N (%) Medical N (%) Missinga N
Gender
Female 25 (86.2) 5 (41.7) 0
Male 4 (13.8) 7 (58.3) 0
Education
Bachelor degree or above 22 (75.9) 12 (100) 0
Employment status
Full-time 21 (72.4) 10 (83.3) 0
Part-time 7 (24.1) 2 (16.7) 0
Other 1 (3.5) 0 (0) 0
Support
• Yes 14 (53.9) 2 (18.2) 4
• No 12 (46.1) 9 (81.8)
Barriers
• Yes 9 (34.6) 5 (41.7) 3
• No 17 (65.4) 8 (58.3)
a
Data not supplied by participant(s)
Note These descriptive data relate only to quantitative data analyses
surveys posted N = 329 from the cohort of 410 which included recently completed
program attendees not emailed before; 81 participants did not have a postal address
on file). A total of 64 learners (Medical: N = 18; Professions: N = 46) participated in
the study; however, only 41 surveys (Medical: N = 12; Professions: N = 29) were
able to be analysed quantifiably due to data omitted from surveys. Interestingly, 23
participants did not complete the item measures. Of the Professions group, 39 were
nurses (61%), four were allied health professionals (6%), and two were adminis-
trative staff (3%), with one person of unknown profession (2%). Ages for the Medical
group (N = 11) ranged from 28 to 52 years old, with a mean age of 34.9 years (SD
6.93), whereas for the Professions group (N = 29), age ranged from 24 to 65 years,
with a mean age of 43.7 years (SD 11.6); Table 1 provides demographic information
categorised by group for the quantitative data analyses (N = 41).
The response rate was low at approximately 14% of those contacted successfully
(N = 462); plus a large proportion of these surveys were not completed fully (36%).
This response rate was not unexpected as both units had advised prior to the surveys
being sent to expect a low response rate on the basis of their previous general
experience with staff surveys.
2.4 Materials
The survey (generated online through SurveyMonkey) asked questions in relation to

the individual, their work role and the training, including demographic questions
(e.g. age, gender, education level); work role (i.e. job title and level, department);
employment status (full-time, part-time, casual); geographical work location
(metropolitan area, regional or rural); and conflict resolution training details, such
as length of training (number of hours), date when attended, who training was
organised by and reason for attending the training.
The survey consisted of several individual and organisational measures, namely:
• New General Self-Efficacy Scale: an eight-item measure developed by Chen,
Gully and Eden (2001). The Cronbach’s alpha coefficient in this study for the
Professions group was 0.92 and for the Medical group was 0.93.
• Wong and Law Emotional Intelligence Scale (WLEIS): a 16-item measure with
four subscales, namely self-emotion appraisal (EI:SEA), others’ emotion
appraisal (EI:OEA), use of emotion (EI:UOE) and self-regulation of emotion
(EI:ROE), developed by Wong and Law (2002). Each scale is comprised of four
items. The Cronbach’s alpha coefficient in this study for the subscales was as
follows: Professions group was 0.91, 0.94, 0.82 and 0.92, respectively, and for
the Medical group was 0.92, 0.76, 0.80 and 0.80, respectively.
• Intrinsic motivation: a three-item measure developed by Guay, Valler and
Blanchard (2000). The Cronbach’s alpha coefficient for the Professions group
was 0.80 and for the Medical group was 0.86.
• Motivation-to-learn: a three-item measure adapted from Noe and Schmitt’s
(1986) eight-item measure. Cronbach’s alpha coefficient for the Professions
group was 0.84 and for the Medical group was 0.94.
• Motivation-to-transfer: a two-item measure adapted from Noe and Schmitt’s
(1986) eight-item measure. The Cronbach’s alpha coefficient for the Professions
group was 0.83 and for the Medical group was 0.94.
• Organisational Commitment Questionnaire (OCQ): the short version of the OCQ
with nine positively worded items, developed by Mowday, Steers and Porter
(1979) was utilised. Mathieu and Zajac (1990) in their meta-analysis of research
utilising the OCQ found that 80 studies reported an average internal consistency
reliability of 0.882 (SD = 0.038). The Cronbach’s alpha coefficient for this study
for the Professions group was 0.84 and for the Medical group was 0.81.
• Organisational Transfer Climate: Positive Work Environment measure is
comprised of three subscales; the subscale Social Cues (OTC: Social cues) was
included. This is a 10-item measure developed by Thayer and Teachout (1995).
An item example is When staff return from training, supervisors encourage
them to share what they’ve learned with other staff. The Cronbach’s alpha
coefficient for this study for the Professions group was 0.95 and for the Medical
group was 0.93.
• Organisational Transfer Climate: Positive Work Environment measure subscale
Goal-setting (OTC: goal-setting) was utilised in this study. It is a six-item
subscale, developed from Thayer and Teachout (1995). An example of an item
is Managers set goals for employees that encourage them to use new training.
The Cronbach’s alpha coefficient for this study for the Professions group was
0.86 and for the Medical group was 0.79.
• Opportunity-to-use (OTC: opportunity-to-use): a five-item measure developed

for this study, based on the work of Holton, Bates and Ruona (2000) and Thayer
and Teachout (1995). An item example is I consciously allocated time to
practice new skills/strategies learnt in the conflict resolution training. The
Cronbach’s alpha coefficient for this study for the Professions group was 0.72
and for the Medical group was 0.80.
• General Training Climate Scale subscale: Organisational Support (GTCS: Org
Support) measure, with five items, was utilised in this study. It was developed by
Tracey and Tews (2005). One example of the items is There is a performance
review and development system that ties recognition and rewards to use of newly
acquired knowledge and skills. In this study, the Cronbach’s alpha coefficient for
the Professions group was 0.81 and for the Medical group was 0.80.
• Training transfer, a five-item measure assessing participants’ transfer of
learning of conflict resolution KSA, adapted from Xiao’s (1996) six-item
measure. Two-item examples are The quality of my conflict resolution skills has
improved since attending the training and I have found it difficult to use what I
learnt at the training in my workplace (reverse scored). The Cronbach’s alpha
coefficient in this study averaged at 0.93 for the two groups (Professions 0.91
and Medical 0.95).
• Training maintenance, a four-item measure assessing participants’ maintenance
of their learning of conflict resolution KSA since attending the training, adapted
from Xiao’s (1996) training transfer measure. Examples of items included in the
scale are Since attending the conflict resolution training, I have been able to
continue using the conflict resolution strategies I learnt and Since attending the
conflict resolution training, I have returned to old ways of dealing with conflict
(reverse scored). Cronbach’s alpha coefficient in this study averaged at 0.79
(Professions group was 0.63 and Medical was 0.95).
All measures utilised a seven-point Likert scale, with response options ranging
from one (strongly disagree) to seven (strongly agree). There was an internal
consistency across the scales in this study, with a Cronbach’s alpha coefficient
generally 0.7 or above, and hence, the measures can be considered reliable (Pallant,
2005). The survey also incorporated ten questions/comment sections asking par-
ticipants about their motivation, reason for attending, examples of utilising their
learning and of being able to maintain it, and if they received support or encoun-
tered any barriers, and examples thereof. These comments were included to elicit
more comprehensive and holistic data, as Brown and McCracken (2009) stated this
is more likely when both quantitative and qualitative research methods are utilised.
2.5 Ethical Considerations
Participants received information about the nature of the study which included
that responses would be confidential and only group results would be reported.
The research project was approved by the healthcare organisation’s Human

Research Ethics Committee and endorsed by the University of Adelaide’s Human
Research Ethics Committee. Governance approval to proceed with the research
project was also received from each of the relevant health organisational sites.
3 Results
3.1 Data Analysis
All statistical analyses were conducted using the statistical software SAS 9.4 (SAS
Institute Inc., Cary, NC, USA). Mean values and standard deviations, or appropriate
frequencies, for all measures were calculated. Descriptive statistics (by group) for
categorical independent variables are presented in Table 1 and for continuous
independent variables are presented in Table 2. As shown in Table 2, variables that
are not normally distributed (majority were negatively skewed) have the median
and interquartile range (Q1, Q3) reported. Assumptions of a linear regression were
found to be upheld for all linear regression models with the outcome variables mean
training transfer and mean training maintenance.
For analysis of responses to the open-ended questions, a conventional content
analysis approach, based on the method outlined by Hsieh and Shannon (2005),
was used, by “systematic classification process of coding and identifying themes or
patterns” (Hsieh & Shannon, 2005, p. 1278). Content analysis was conducted by
the first author and consequently checked individually by the other authors, with
agreement reached.
Power. In regard to detecting a difference between the two professional groups
(Professions and Medical), there is power of 80% (where alpha = 0.05) to detect a
clinically significant difference of 0.13 for the transfer variable and a clinically
significant difference of 0.15 for the maintenance variable, between the two groups.
Quantitative results are reported first, followed by the themes identified from the
content analysis of the comment sections elicited from the surveys. Table 1 shows
the descriptive statistics for both groups and the independent categorical variables.
Note that due to the small sample, not all demographic information is reported to
avoid inadvertent identification of any participants.
Multivariable linear models were performed for the two dependent variables:
transfer and maintenance. All individual factors with a P value < 0.2 in a univariate
model versus transfer (i.e. emotional intelligence: self-emotion appraisal (SEA),
others’ emotion appraisal (OEA) and self-regulation of emotions (ROE);
motivation-to-learn; intrinsic motivation; and motivation-to-transfer) were included
in an initial individual factor multivariable model. The professional variable
(Professions/Medical) was included no matter what its P value, as an a priori
variable. Backwards elimination was performed until all covariates had a
112
Table 2 Descriptive statistics for continuous independent and dependent variables

Variables (mean) Professions (N = 29) Medical (N = 12)
N Mean Std Median Interquartile N Mean Std Dev Median Interquartile
Dev range range
Q1 Q3 Q1 Q3
Training transfer 27 4.95 1.23 10 5.08 1.10
Training maintenance 27 4.91 0.95 10 4.90 1.37
Length of training (hours) 28 5.27 1.84 6.00 3.50 6.00 12 1.42 0.97 1.00 1.00 1.00
Time since training (months) 28 9.73 5.55 10.00 5.00 13.0 12 16.53 9.03 17.54 10.17 20.00
Self-efficacy 29 6.12 0.67 6.10 5.90 6.60 11 6.05 0.69 6.00 5.80 6.50
EI:SEA 29 6.02 1.01 6.00 5.50 6.80 11 5.11 1.21 5.50 3.50 6.00
EI:UOE 29 5.99 0.79 6.00 5.30 6.80 11 4.99 1.01 5.00 4.80 6.00
EI-OEA 29 5.72 1.09 6.00 5.30 6.50 11 5.38 1.01 5.80 4.50 6.30
EI-ROE 29 6.01 0.89 6.00 5.50 7.00 11 5.48 0.91 5.30 5.00 6.00
Intrinsic motivation 29 6.17 0.68 6.00 6.00 6.70 11 5.98 0.82 6.30 5.30 6.30
Motivation-to-learn 29 6.23 0.68 6.30 6.00 6.70 11 6.20 0.76 6.30 6.00 7.00
Motivation-to-transfer 29 6.26 0.93 6.50 6.00 7.00 11 6.05 1.04 6.00 5.50 7.00
OCQ 29 5.96 0.78 6.10 5.20 6.40 11 5.26 0.89 5.20 4.80 6.00
OTC: social cues 29 4.91 1.24 5.10 4.10 5.90 11 4.75 1.23 4.80 4.30 5.70
OTC: goal-setting 29 4.45 1.05 4.50 4.00 5.20 10 4.59 0.95 4.45 3.70 5.70
OTC: opportunity-to-use 29 3.92 1.15 4.00 3.60 4.80 10 4.10 1.24 4.40 3.00 5.20
GTCS: Org.Support 28 4.49 1.15 4.60 4.10 5.30 10 4.88 1.14 4.80 4.40 6.00
Note Negatively skewed variables have the median and interquartile (Q1, Q3) range also reported
S. Vandergoot et al.
P value < 0.2. This is Model 1 in Table 3: a final multivariable linear regression of
the transfer variable versus individual factors.
Training factor variables (time since training and training length) were then
added and backwards elimination performed again until P values < 0.2. This is
Model 2 in Table 3: a final multivariable linear regression of the transfer variable
versus individual and training factors. Note that the adjusted R2 remained basically
unchanged after these factors were added to the model. Organisational variables
with P value < 0.2 (i.e. support, barrier, organisational transfer climate measures
of social cues, goal-setting and opportunity-to-use, and General Training Climate
Scale measure of organisational support) were then added and backwards
Table 3 Multivariable linear regression results: outcome training transfer versus three levels of
predictors
Predictor variable Estimate (95% CI) P value Adjusted
R2
Model 1—individual factors 0.5995
Study (Medical vs. Professions) 0.61 (0.02, 1.19) 0.0437
EI:OEA (mean) 0.43 (0.14, 0.92) 0.0051
EI:ROE (mean) 0.43 (0.12, 0.75) 0.0086
Intrinsic motivation (mean) −0.43 (0.11, 0.10) 0.1062
Motivation-to-transfer (mean) 0.80 (0.45, 1.16) <0.0001
Model 2—individual and training factors 0.5983
EI:OEA (mean) 0.42 (0.13, 0.71) 0.0062
EI:ROE (mean) 0.46 (0.14, 0.79 0.0063
Intrinsic motivation(mean) −0.42 (−0.95, 0.1) 0.1119
Motivation-to-transfer (mean) 0.81 (0.45, 1.16) <0.0001
Time since training (months) −0.02 (−0.06, 0.02) 0.3499
Model 3—individual, training and 0.7686
organisational factors
EI:OEA (mean) 0.39 (0.16, 0.62) 0.0015
EI:ROE (mean) 0.51 (0.25, 0.76) 0.0004
Intrinsic motivation) (mean) −0.53 (−0.94, −0.12) 0.0128
Motivation-to-transfer (mean) 0.55 (0.24, 0.85) 0.0010
OTC: goal-setting (mean) 0.47 (0.23, 0.71) 0.0003
Support (no vs. yes) −0.52 (−0.97, −0.07) 0.0248
elimination performed again until P values < 0.1. This is Model 3 in Table 3:
a final, most parsimonious multivariable linear regression model of transfer versus
individual, training and organisational factors. Adjusted R squared values are also
shown for each model.
In regard to the final (third) model, there was a statistically significant associ-
ation between training transfer and professional group, when controlling for the
other individual, training and organisational factors within the final model (global
P value = 0.0022). Comparing these professional groups, medical officers rated
their training transfer (mean) almost one unit greater than those in the Professions
group (estimate = 0.92, 95% confidence interval (CI): 0.36, 1.47). There was also a
statistically significant association between training transfer and goal-setting when
controlling for the other variables (e.g. individual, training and organisational
factors and professional group) within the model (global P value = 0.0003). For
every one unit increase in goal-setting, the mean training transfer variable increased
by approximately half a unit (estimate = 0.47, 95% CI: 0.24, 0.71). The other
predictor variables such as emotional intelligence (OEA and ROE) and
motivation-to-transfer also had statistically significant associations with training
transfer when controlling for the other variables in the model, as shown in Table 3.
For example, there was a statistically significant association between training
transfer (mean) and support, when controlling for the individual, training and
organisational factors within the model (global P value = 0.0248). In this study,
participants who stated they did not have support had a mean training transfer half a
unit less than participants who stated they did have support (support (no vs yes)
estimate = −0.52, 95% CI: −0.97, −0.07).
The same procedure was performed in regard to the dependent variable: training
maintenance. The same individual, training and organisational factors except
motivation-to-learn had P values < 0.2, as did employment status, and hence were
included. Models 1, 2 and 3 presented in Table 4 are relevant to the dependent
variable, maintenance, with adjusted R2 values shown for each model. Adjusted R2
(R2 modified for the number of the predictors included in the models) has been
reported as it increases only if the new term improves the model more than would
be expected than by chance alone (Pallant, 2005).
In regards to training maintenance, there was no statistically significant differ-
ence between the two professional groups. However, goal-setting and emotional
intelligence were again found to have statistically significant associations, when
controlling for the other variables (individual and organisational factors) within the
model. For example, for every one unit increase in emotional intelligence of being
able to appraise others’ emotions (OEA), mean training maintenance increased by
approximately half a unit (estimate = 0.45, 95% CI: 0.12, 0.77, global
P value = 0.0082). In contrast, employment status and the organisational transfer
climate variable of social cues had significant negative associations with training
maintenance. For example, as shown in Table 4, when controlling for the individual
and organisational factors within the final model (global P value = 0.0074),
part-time participants rated their training maintenance one unit less than full-time
participants (estimate = −1.01, 95% CI: −1.73, −0.23).
Table 4 Multivariable linear regression results: outcome training maintenance versus three levels
of predictors
Predictor variable Estimate P value Adjusted
(95% CI) R2
Model 1—individual factors 0.2563
Study group (Medical vs. Professions) 0.32 (−0.40, 1.04) 0.3711
EI:OEA (mean) 0.37 (0.01, 0.72) 0.0424
EI:ROE (mean) 0.28 (−0.10, 0.66) 0.1411
Motivation-to-transfer (mean) 0.23 (−0.11, 0.57) 0.1823
Employment status (part-time vs. full-time) −0.76 (−1.57, 0.04) 0.0604
Model 2—individual and training factors 0.2609
EI:OEA (mean) 0.36 (0.01, 0.72) 0.0440
EI:ROE (mean) 0.33 (−0.06, 0.71) 0.0966
Motivation-to-transfer (mean) 0.23 (−0.11, 0.58) 0.1739
Employment status (part-time vs. full-time) −0.81 (−1.61, −0.00) 0.0489
Model 3—individual, training and 0.4157
organisational factors
EI:OEA (mean) 0.45 (0.12, 0.77) 0.0082
EI:ROE (mean) 0.44 (0.10, 0.78) 0.0131
Employment status (part-time vs. full-time) −1.01 (−1.73, −0.29) 0.0074
OTC social cues (mean) −0.51 (−0.94, −0.08) 0.0227
OTC goal-setting (mean) 0.78 (0.31, 1.25) 0.0021
In regard to the comment sections in the survey, several recurring themes

emerged and these are shown in Table 5. Many comments outlined workplace
conflict as being an important motivator or consideration in undertaking the
training, with those who attended leadership or training for higher levels stating that
conflict resolution skills were important skills needed in leadership and
management.
4 Discussion
This is the first study of its kind to examine multiple individual and organisational
transfer climate factors in relation to transfer and maintenance of conflict resolution
skills in health care. The significant results of this study indicated that medical
officers who had completed the training more recently and/or participants who rated
their emotional intelligence (regarding appraising others’ emotions and their
emotional self-regulation) and motivation-to-transfer higher, and received more
Table 5 Themes from survey comment sections

Questions Main Themes
Reasons for attending training 1. Self-improvement and development (N = 9 nurses and 9
MO)
2. Organisational processes or recommended (N = 11 RN; 6
MO; and 3 AH) such as performance review and development
discussions with their manager
3. Conflict issues at work (N = 5 RN; 2 Adm and 1 AH)
Examples included conflict with peers, MO and patients or
their family. Other issues mentioned were low morale and
“toxic environment”
Types of conflict examples 1. Staff- or team-related conflict/dispute examples given
reported (N = 9 RN; 3 MO; 1 Adm and 2 AH)
2. Patient- or their family-related disputes or conflict example
given (N = 3 RN)
Note: Though several stated they couldn’t recall specific
incidents or situations where they had used the conflict
management skills (N = 6 MO, 5 RN and 1 Adm), this may
point to these people not consciously attempting to utilise the
skills
Ability to maintain conflict 1. Using skills; many name particular skills and/or examples
resolution skills (N = 19 RN; 6 MO; and 1 AH). Examples included were
attentive listening skills, body language and emotional
awareness
2. Haven’t been able to maintain; haven’t practiced or been
able to practice
(N = 1 RN; 2 Adm; 4 MO and 1 AH)
3. Maintaining skills but difficulty of doing so/due to difficulty
of situation/conflict; hard to maintain skills “take a deep
breath” (N = 6 RN and 1 MO)
Received support to transfer 1. Received support (N = 15 RN and 2 MO)—examples
new skills included managers, HR, senior staff (nurse managers and
(Total N = 38) nurse educators) and colleagues, multidisciplinary team
2. Did not receive support to transfer their training (N = 10
RN, 1 Adm, 1 AH and 9 MO)
Encountered barriers to 1. Did encounter barriers to transferring skills (N = 7 RN; 5
transfer new skills MO and 2 AH); examples included “boss” and senior staff due
(Total N = 39) to hierarchy and inequalities in power/power usage,
“busyness” of work and lack of time/passage of time,
colleagues, stressful work and increased change of staff, lack
of resources (busy wards and lack of time to practice and lack
of funding to train all staff. Another mentioned “favoritism”
2. Did not encounter barriers to transferring skills (N = 15)
(continued)
Table 5 (continued)
Colleagues/others responded 1. Responded they were treated differently in a positive
differently to them manner (N = 7 RN, 4 MO, 1 Adm and 1 AH); they thought
(Total N = 33) they were treated with more respect; that others sought them
out to help with conflict issues; or that team members were
supportive and gave them feedback on their progress. Also
that they were treated more seriously. They felt more
confident
2. Responded they were treated differently in a negative
manner (N = 2), examples: that they were seen as a
“trouble-maker” by not “letting it go” of issues and “rocking
the boat”
Legend: MO Medical Officers; RN Nurses; AH Allied Health professionals; Adm Administrative
staff
organisational support and goal-setting cues, tended to rate their transfer of conflict
resolution skills higher. Interestingly, intrinsic motivation was significantly nega-
tively associated with training transfer, which may be due to conflict skills being
seen as a necessary skill in the workplace, rather than an interesting one for its own
sake. Though not all the individual factors measured in the survey were significant
(e.g. self-efficacy, organisational commitment or motivation-to-learn), motivation-
to-transfer was significantly positively associated with training transfer, supporting
other research regarding motivation which has been consistently found to play a
critical role at each stage of the transfer process (e.g. Kontoghiorghes, 2002;
Gegenfurtner et al., 2009; Grossman & Salas, 2011; Sankey & Machin, 2014).
Surprisingly, other than emotional intelligence (EI), no other individual measures
were significant in regard to training maintenance.
This study also had mixed results regarding EI and training transfer and main-
tenance. Only two of the subscales of EI (appraise others’ emotions and self-
regulation of emotions) were significantly and positively associated with both
training transfer and maintenance. Though it was hypothesised that all four com-
ponents of EI would be important in being able to transfer and maintain learning, it
makes intuitive sense that people who are able to understand others’ emotions and
regulate their own are more likely to be able to transfer and then maintain their
conflict resolution skills from the training to their workplace. The other two EI
subscales (self-appraisal of emotions and use of own emotions) may be less
important aspects of EI in relation to conflict resolution skills, hence resulting in the
nonsignificant outcome in this study. However the small sample also needs to be
taken into consideration. This study appears to be the first to examine EI in relation
to transference and maintenance of conflict resolution skills; however, there are
ample studies linking EI to conflict resolution skills in general (e.g. Ayoko
et al., 2008; Jordan & Troth, 2002; Schlaerth, Ensari & Christian, 2013; Shih &
Susanto, 2010).
In relation to organisational climate factors such as opportunity-to-use, organi-

sational support, social cues and goal-setting cues (e.g. cues by managers that
encourage practice of skills), the hypothesis was partly supported, with goal-setting
cues and support found to be significant in relation to training transfer and social
cues and goal-setting cues significant in relation to maintenance. Those participants
who perceived positive organisational support and/or goal-setting cues reported
being able to transfer their conflict resolution skills more successfully, and those
who perceived social cues and goal-setting cues reported being better able to
maintain their skills than others in this study. These findings are supported by other
studies regarding organisational climate factors (e.g. Kontoghiorghes, 2002; Thayer
& Teachout, 1995; Xiao, 1996). Surprisingly, social cues were significantly neg-
atively associated with training maintenance. This could possibly be due to social
cues over time being perceived negatively, or even as harassing, if managers persist
in following up on training maintenance efforts. Another possible explanation is
that social cues lose influence over time with maintenance of skills.
Only the training factor, time since training, was significantly and negatively
related to training transfer. The result is as it would be expected in that training
transfer would be less likely to occur or change the further time passed by.
Results showed that medical officers reported higher training transfer than their
counterparts in the Professions group which included nursing, allied health and
administration professionals. Due to the small sample, however, this result should
be interpreted with caution. The Medical group did attend training especially
designed for and supported by their profession with medical leaders in attendance,
perhaps enhancing the training experience and increasing the transfer potential or
likelihood. In comparison, the training that the Professionals group attended
included those of mixed professional groups which may have reduced participants’
ability to speak frankly regarding workplace conflict. Due to the small sample and
the large number of different programs included for the Professionals group in
comparison with the Medical group, this finding needs further exploring to deter-
mine whether training transfer is enhanced when conflict resolution training occurs
within homogeneous groups rather than mixed professional groups.
For transfer maintenance, the employment status of participants was a significant
factor, with those who worked part-time reporting significantly lower maintenance
of conflict resolution skills since completing the training than others in this study.
This result is understandable given that less time spent at work reduces opportu-
nities to practise and fine-tune conflict resolution skills. For example, Ascher (2013)
found that the opportunity to apply and practice what was learned in training was
rated as the highest predicting factor to the training transfer process, along with
motivation to implement learning. Hence, part-time workers not only have less time
and therefore opportunity to apply and practice conflict resolution skills, but also
may be less motivated to do so over time.
This study has highlighted some of the influencing factors on training transfer
and maintenance of conflict resolution skills in healthcare. Individual and organi-
sational factors were both found to be important for training transfer. However,
organisational climate factors may be more important when staff are attempting to
maintain new conflict resolution skills, as only the individual factor of emotional
intelligence was found to be significant in relation to maintenance and has not been
studied before in this context. This may help explain previous research quoting only
a low percentage of return of investment regarding training expenditure (Baldwin &
Ford, 1988; Gitonga, 2007; Kontoghiorghes, 2002) as transfer and maintenance of
learning have traditionally been assumed to have the same, rather than different
influencing factors. This would have important implications for organisations
regarding ensuring long-term benefits from their training and development
expenditure by investing more resources towards assisting staff to maintain new
conflict resolution skills after training transfer. However, the relatively small sample
in this study, spread over the different professions and training programs, require
that these results be replicated with larger samples of each professional group to
further explore these differences between transfer and maintenance. In regards to
the differences found in training transfer between the two study groups, it would be
ideal to compare mixed and homogeneous professional groups completing the same
conflict resolution training. Further research regarding emotional intelligence and
being able to transfer and maintain conflict resolution skills into practice is also
needed to explore this relationship further.
With respect to training transfer and maintenance in organisations generally, the
results of this study are consistent with Ascher’s (2013) recommendations to
improve organisations’ transfer climate by providing staff with supportive processes
and cues when they attempt to implement new skills in the workplace. This study
found that both individual and organisational transfer climate factors were impor-
tant in influencing and supporting people’s endeavours to transfer and maintain new
conflict resolution skills in healthcare. These results have implications for health-
care organisations in regard to how they motivate and support staff before and after
training to increase transfer and maintenance of conflict resolution skills which are
especially important in light of the potential detrimental effects conflict can have on
health professionals’ decision-making when providing patient-care.
Acknowledgements The authors wish to acknowledge the assistance of Suzanne Edwards,

Statistician, from the Adelaide Health Technology Assessment (AHTA), University of Adelaide,
with the analysis of the quantitative data. The authors also wish to acknowledge the support and
assistance of Ronda Bain, Lisa Vertue and the Training and Development units for their advice,
support and assistance in contacting learners on our behalf.
Declaration of Interest. This study was supported through the provision of an Australian
Government Research Training Program Scholarship and a Faculty of Health Sciences Divisional
scholarship from the University of Adelaide, South Australia; awarded to the first author. The
authors report no other potential conflicts of interest. The authors alone are responsible for the
content and writing of this article.
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An Assessment of the Sociocultural
Evolution Among Selected Filipino
Stay-at-Home Fathers (SAHFs):
“Basis for Sustainable Plan”
Jonathan I. Arante
Abstract This study was conducted in Bgy. 50, 53, 54, 55, and 56 all comprising
Zone 7 of the Sta. Clara District, Pasay City, with a total combined 314 households.
Forty heads of the households were reported belonging to SAHFs registered in
2014 in their respective Zone Manager per Barangay. These 40 head of the
households, who were identified as being a SAHF served as the main respondents
for this study and answered the questionnaires along with undergoing the
one-on-one interview with the researcher. The distributions of the participants are
such: 8 SAHFs (Bgy.50), 10 SAHFs (Bgy.53), 8 SAHFs (Bgy.54), 7 SAHFs
(Bgy.55), and 7 SAHFs (Bgy.56). Correlational analyses revealed that there is no
significant relationship between marital satisfaction and paternal salience. The
SAHFs’ overall mean score is 7.76 with a std. of 0.0608 entailing that the partic-
ipants achieved an overall acceptance into the role of their wives and maintain a
happy demeanor within their marriage. The participants’ levels of marital satis-
faction and levels of paternal salience in terms of its significant relationship
revealed a STD of 0.01323 which means that marital satisfaction does not influence
paternal salience.

Keywords Stay-at-home fathers (SAHFs) Marital satisfaction

Paternal salience Barangay level Zone manager
1 Introduction
Societal and cultural changes relating to gender of caregivers over the past fifty
years evolved, in spite of it, the “practices around motherhood in the West remain
grounded in assumptions of mothering as biologically determined, instinctive and
natural”. This predominant essentialist viewpoint means that the role of primary
J. I. Arante (&)
Australian International School, CDEP, Manila, Philippines
e-mail: jonathan.arante@ais.mgis.org.ph
URL: http://www.ais.mgis.org.ph/

https://doi.org/10.1007/978-981-10-8034-0_8
124 J. I. Arante
caregiver is still normatively defined as belonging to the female gender role.

However, in the last thirty years, there has been a significant increase in the amount
of men who have chosen to become the primary caregiver, thereby challenging the
traditional gender role norms and expectations. Doucet (2007) states that in Canada,
“stay-at-home fathers have increased 25% in the past ten years while stay at-home
mothers have decreased by approximately the same figure” and reports that
stay-at-home fathers make up 18% of all stay-at-home parents in the USA. In the
UK, the Office of National Statistics showed that in 2007, there were 200,000
stay-at-home fathers in Great Britain—almost double the amount recorded in 1993.
It seems pertinent to question, therefore: how do men experience the psychological
discrepancy when they move away from traditional male roles and immerse
themselves in one that has been traditionally viewed as women’s work, i.e., that of
nurturing and raising children.
In similar form, the character of the Philippine society has changed during the
past years. With it are the changes in the institution, both in structure and function.
Like other institutions, the nature of the family and family life has also changed in
response to the demands of new cultural conditions. Changes in the structures and
functions of the family came as a result of industrialization, urbanization, demo-
cratic ideals, and religious views. Industrialization has brought about a great impact
on the economic conditions of the country. Because production took place outside
of the home, it dispersed the employment of the family members and thus weak-
ened the family as an economic or working unit (p. 34). Industrialization has also
affected traditional culture. The ideals of individualism and competition have spread
and increased the number of women outside the home. Hence, one of the most
important trends today is the increased number of wives working and leaving their
husbands to take care of their family.
The October 2010 Philippine Labor Force Survey estimated a total of 5 million
women laborers and unskilled workers and 6.7 million of their male
counterpart. Women farmers, forestry workers, and fisherfolks were estimated at
839,000 compared to 5.1 million men in the same occupation group. Likewise,
women government officials, corporate executives, managing proprietors, man-
agers, and supervisors were estimated at 2.5 million while men in the same group
were estimated at 2.4 million (www.pcw.gov.ph). Of the total 14.2 million
employed women in October 2010, around 7.5 million (53.0%) were wage and
salary workers; 3.9 million (27.7%) were self-employed without any paid
employee; and around 327,000 (2.3%) were employer in own family-operated farm
or business. As to the 22.3 million employed men, 12.3 million (55.0%) were wage
and salary workers; 7.1 million (31.8%) were self-employed without any paid
employee; and 1.1 million (4.8%) were employed in their own family-operated
farm or business.
Based on the foregoing statements, a new breed of parental genre among
“Stay-at-Home Fathers” is on the rise, especially as various sectors of the world
experience a down trout in the fiscal aspect of their economy. In turn, the economic
An Assessment of the Sociocultural Evolution … 125
down drought has lend itself a dilemma in which more households are now seeing
fathers at the family mainstay while mothers are now becoming breadwinners. In
reference to the above 2010 Labor Force Survey conducted and released by
Department of Labor and Employment, the Philippines is not immune to the
changing cultural paradigm shift happening across the world of now having
mothers as being “breadwinners.” Yet, with the rise of this sweeping phenomenon,
there has been dearth of available research among stay-at-home fathers within an
Asian setting. In the Philippines, there is a dearth in both qualitative and quanti-
tative studies, and studies which offer an understanding of how the process of
SAHFs unfolds especially in the area of marital satisfaction and paternal salience.
This study aims to assess the sociocultural evolution among selected Filipino
stay-at-home fathers primarily in the area of marital satisfaction and paternal sal-
ience eventually providing a basis for psychosocial intervention.
1.1 Emergence of Stay-at-Home Fathers
The seeds of this trend date back to industrialization in the latter half of the
nineteenth century, sometimes also referred to as the Victorian Era. Industrialization
created the now-prevalent dualistic realms of home and paid work in developed
countries, with women in charge of the former and men in charge of the latter.
Goaded by a desire for equal citizenship with men and some control (e.g., legal,
financial) over their own lives, women’s roles in the USA have been expanding into
the public realm for over a century. The stereotype of women in charge of home and
children persists. This overloading of job/career, family, and domestic duties is
thought to contribute to the glass ceiling, in work/life balance and conflict literature.
Much of this literature discusses the need for―work flexibility [for women] at all
levels. Others discuss the need for men, as well as women, to be able to use flexible
work schedules. There are some organizations which have flex options written into
corporate policies, but the use of them by men is frequently frowned upon.
Stay-at-home fathers do not represent a movement, but are instead a relatively
new trend concerning changes in the concepts of marriage, masculinity, and cultural
norms of the male sex role. The implications envelop, not just many women’s drive
to higher echelons in the workplace, but also the acceptance of men having more
life options. If women are generally over-stretched between work and domestic/
childrearing realms, then men are also stymied as they are stuffed into work-only
life choices.
Stay-at-home fathers represent a group taking on an extreme counter-role in
society. They offer the opportunity to study cultural acceptance, psychological
well-being, and communication at important junctures. By understanding SAHDs
better, we can also become more aware of issues affecting men’s role expansion in
general. The 2006 U.S. Census Bureau Current Population Survey Report tracks
126 J. I. Arante
stay-at-home family groups, defined as―married-couple family groups with chil-

dren under 15 where one parent is in the labor force all of the previous year and
their spouse is out of the labor force for the entire year with the reason taking care
of home and family.
Stay-at-home fathers, then, are husbands who have not worked in the past year to
care for their home and children up to the age of 15. Other groups, including other
branches of the U.S. Census Bureau and SAHD support group networks/websites,
expand this definition to include any man who is the primary caregiver for his
children. The Census Bureau (2004) refers to primary care as the situation in which
the child spends the most time. This can include fathers who are full-time,
part-time, or self-employed.
Stay-at-home fathers are a phenomenon in more countries than just the USA.
They are becoming common in Canada, are emerging in China, exist in Japan and
in South Korea, and constitute a tenacious trend in the UK. Muslim countries,
however, do not look favorably on this role. U.S. Census Bureau Editor’s Desk
(TED) in 2005 shows childcare by father for 11.3 million children from birth to age
six, with mother working 35 or more hours per week, is 25% or roughly 2.8 million.
In Great Britain, according to the Office of National Statistics in 2012, more than
200,000 British men look after the children as their female partners go out to work,
more than ever before in this country. Looking more deeply into labor market
figures, we can see that this is much more about unemployment than social change
that women are still taking the lower-paid, part-time jobs that they were before, but
there is a very large number of men with no job at all. It might well be the case that
more men than ever are staying at home by choice, but that’s not reflected in this
data.
1.2 Evolution of Stay-at-Home Fathers
At beginning the twentieth century, British and American fathers were expressly
interested in asserting standards of masculinity. Boys below the age of six were no
longer dressed as little girls and toys aimed at masculine pursuits became popular
purchases. Responding to the escalating women’s rights movement and the
impelling glamor of industrial fortunes, Boy Scouts, YMCA, Knights of King
Arthur, Boone and Crocket Club, gyms and male athletic clubs, and similar
male-oriented youth organizations were created to prepare boys for the rigors of life
as a male adult. Established by Boer War hero, General Baden-Powell, Boy Scouts
were introduced in Britain and then in the USA and internationally, as a method of
reassertion of manly values of this time. Particularly in the USA, the cowboy was a
prevalent and admirable male model of desired traits such as the ethical self-made
man. A plethora of cowboy movies made in the USA during the 1950s and 60s and
the Jedi knights of the Star Wars movie series in the 1980s shows the lingering love
affair with the cowboy archetype.
Breadwinner became one of the most salient descriptors for American men.
Weber’s work in 1905 on the Protestant ethic showed how men were so focused on
making money that it became their life’s purpose. Tocqueville expressed the U.S
fascination with accumulating money as an important male trait, as the result of
democratic societies: Among aristocratic nations, money reaches only to a few
points on the vast circle of man’s desires: In democracies, it seems to lead all. In an
orderly and peaceable democracy like the USA, where men cannot enrich them-
selves by war, by public office, or by political confiscation, the love of wealth
mainly drives them into business and manufactures.
After World War II, the USA experienced a period of prosperity. Magazines and
the popular new entertainment medium of television shows such as Father Knows
Best praised family life as verging on the sacred. Men were encouraged to be active
fathers, albeit as a weekend occupation, because the main role extolled for men was
breadwinner. Additionally, women were buttressed as essential and irreplaceable at
home, especially in the care of their children.
By the 1970s, psychologists David and Brannon (1987) had distilled four pri-
mary components of the male sex role in the USA: (1) no sissy stuff and reject the
feminine, (2) be a big wheel—economic success trumps all, (3) be a sturdy oak—
the brawny independence inherited from the founding of the USA (4) give em
hell—be aggressive risk-takers. Being a big wheel, or at least the breadwinner, is
most central circle in the target of the salient male role adjectives and becomes the
basis of the American role in his masculine identity so narrowly on the bread-
winning role, since it occupies both physical physique and physically fitness as the
central position in his life.
Gearson (1983) also noted the prevalence of the breadwinner stereotype among
her interviewees in spite of a drastically changing culture in which the middle-class
family is more often dual-income than the traditional one-income breadwinner. In
the span of a generation, from the 1970s to the turn of the century, the daily life of
American middle class has undergone a silent upheaval: Men who have reached
adulthood in recent decades have confronted confusing circumstances. The stag-
nation of wages has undermined their capacity to support a family alone. Women’s
entry into the workplace has challenged their preeminence as breadwinners and
workers. Other researchers in the 1990s have noticed a change in the defining
elements of masculinity. Sensitive new age guy masculinity has also grown in
popularity. Harris (1994), in a landmark study of over 500 men, found the theme of
Nurturer: men [who] are gentle, supportive, warm, sensitive, and concerned about
others’ feelings, (p. 111) to be one of the dominant themes or ideals underscoring
masculinity in the United States (p. 104).
SAHFs evolution can be summarized through the American poet and activist,
Robert Bly, who strongly reflects his sentiment in his infamous book, Iron John: A
book about men (1990). Bly takes a Jungian approach, arguing that men need to cut
themselves off from the ideologies of the current culture and create their own
128 J. I. Arante
definitions of father and masculinity. He focuses on ancient stories as a guide and

anchor for divesting the stifling standards of the current era.
1.3 Present Day Themes About SAHF
1.3.1 SAHF Marital Satisfaction
The most consistently found predictor of men’s engagement with their children and
satisfaction with parenting is the quality of the spousal relationship. Marital conflict,
in contrast, often results in men’s withdrawal from children and spouses, although
this is sometimes more pronounced for daughters than for sons.
Most likely, it is a combination of heritable biases and reactivity to marital
dynamics that influence paternal investment, but definitive answers must await
research designs that assess social and genetic factors and their interaction. There is
a positive correlation between marital quality and the following: levels of father
involvement in child care responsibilities, the quality of the father–child relation-
ship, the father’s satisfaction in his own paternal role, and his competence as a
parent.
These correlations indicate that the marital relationship is an important context
for the quality of men’s experiences as a father. Men are more likely to understand
their role of being a father and a husband as a “package deal”—one contingent upon
the other. Therefore, if marital conflict is high, fathers have a much more difficult
time being involved with their children, which weakens the father–child relation-
ship .
For example, inter-parental conflict was negatively related to quality fathering
for single-earner Mexican-American families. Conversely, a strong parenting
alliance was positively related to quality fathering. Thus, strengthening the
inter-parental relationship that can support quality fathering.
The importance of the marital context considered, recent research indicates that
for biological fathers regardless of their fathering status (residential, nonresidential,
residential boyfriend, non-resident boyfriends, or non-resident friend), the fathers
who had at least a romantic relationship with the mother were more involved with
their children across types of involvement than those in no relationship, marital or
otherwise.
Some research indicates that increased father involvement can have positive
consequences for the marriage. For example, Snarey (2003) found that fathers who
were involved in their children’s lives were significantly more likely to enjoy a
stable marriage at midlife. (Father’s involvement accounted for 25% of the variance
in the father’s midlife marital success.) Other researchers have found a similar
relationship between competent fathering behaviors and increased marital
satisfaction and marital stability in later life. Thus, overall, there is more evidence
that paternal involvement has positive consequences for marriage than negative
consequences.
1.3.2 Effects of Father’s Absence on Child Development Outcomes
Children, who live without their fathers, are, on average, more likely to have
problems in school performance. For example, they are more likely to have lower
scores on achievement tests, lower scores on intellectual ability and intelligence
tests, have lower grade point averages, be academic underachievers working below
grade level, have lower academic performance, have trouble-solving complex
mathematical and puzzle tasks, or spend an average of 3.5 h less per week studying.
They are more likely to drop out of school, twice as likely to repeat a grade, less
likely to graduate from high school, more likely to complete fewer years of
schooling, less likely to enroll in college, and more likely to be out of school and
work or have poor labor attachments in their mid-20s.
Boys who live without their fathers consistently score lower on a variety of
moral indexes, such as measures of internal moral judgment, guilt following
transgressions, acceptance of blame, moral values, and rule conformity. Girls who
live without their fathers are more likely to cheat, lie, and not feel sorry after
misbehaving. Both boys and girls are less likely to be able to delay gratification,
have poor impulse control over anger and sexual gratification, and have a weaker
sense of right and wrong.
In father-absent homes, boys, on average, are more likely to be more unhappy,
sad, depressed, dependent, and hyperactive. Girls who grow up in father-absent
homes are, on average, more likely to become overly dependent and have inter-
nalizing problems such as anxiety and depression. For example, African-American
daughters’ perceptions of anger and alienation from fathers were related to greater
emotional and behavioral problems for adolescents. In addition, a combination of
low father contact and high levels of either anger or trust in the daughter–father
relationship was related to particularly deleterious psychosocial outcomes for
adolescent girls. Both boys and girls are more likely to develop disruptive or
anxiety disorders, have conduct problems, suffer from psychological disorders,
or commit suicide. However, father involvement partially mediates the effects of
family structure on adolescent behavioral outcomes in that it reduced both the size
and the significance of nearly all the statistically significant family structure effects
on adolescent behavior suggesting that father involvement is a critical factor in
predicting adolescent behavioral outcomes.
130 J. I. Arante
Children who live without their fathers are, on average, more likely to choose
deviant peers, have trouble getting along with other children, be at higher risk for
peer problems, and be more aggressive. Children who live without their fathers are,
on average, at greater risk of being physically abused, of being harmed by physical
neglect, or of suffering from emotional neglect.
Adolescents who live without their father are more likely to engage in greater
and earlier sexual activity, are more likely to become pregnant as a teenager, or
have a child outside of marriage. This elevated risk was not explained by familial,
ecological, or personal disadvantages associated with father absence, and there was
stronger and more consistent evidence of the effects of father absence on early
sexual activity and teenage pregnancy than on other behavioral or mental health
problems or academic achievement. More specifically, women whose parents
separated between birth and six years old experienced twice the risk of early
menstruation, more than four times the risk of early sexual intercourse, and two and
a half times higher risk of early pregnancy when compared to women in intact
families. Other research indicates similar trends.
Teens without fathers were twice as likely to be involved in early sexual activity
and seven times more likely to get pregnant as an adolescent.
Likewise, early fatherhood, both during the teen years and early twenties, is
much more likely to occur if young men did not grow up living with their own
fathers. Young fathers were also less likely to be living with their children if their
own fathers had not lived in residence with them throughout childhood. Overall,
research indicates that being raised by a single mother raises the risk of teen
pregnancy, marrying with less than a high school degree, and forming a marriage
where both partners have less than a high school degree.
Children who live without their fathers are, on average, more likely to be poor
with the US Bureau of the Census (2003) reporting that children in father-absent
homes are five times more likely to be poor.
Overall, father absence has deleterious effects on a wide range of child devel-
opment outcomes including health, social and emotional, and cognitive outcomes.
1.3.3 Benefits of Father Involvement for Fathers
Men who are involved fathers feel more self-confident and effective as parents, find
parenthood more satisfying, feel more intrinsically important to their child, and feel
encouraged to be even more involved.
Spending time taking care of children provides fathers with opportunities to
display affection and to nurture their children. Involved fathers are more likely to
see their interactions with their children positively, be more attentive to their
children’s development, better understand, and be more accepting of their children,
and enjoy closer, richer father–child relationships. When fathers spend more time
with their children, they are more likely to engage unsupportive interactions,
regardless of negative mood.
Fathers who are involved in their children’s lives are more likely to exhibit
greater psychosocial maturity, be more satisfied with their lives, feel less psycho-
logical distress and be more able to understand themselves, empathically under-
stand others, and integrate their feelings in an ongoing way. Involved fathers report
fewer accidental and premature deaths, less than average contact with the law, less
substance abuse, fewer hospital admissions, and a greater sense of well-being
overall (Pleck, 1997). Involved fathers are more likely to participate in the com-
munity, do more socializing, serve in civic or community leadership positions, and
attend church more often.
Some evidence suggests that involved fathering is correlated with marital sta-
bility and is associated with marital satisfaction in midlife. Involved fathers are
more likely to feel happily married ten or twenty years after the birth of their first
child and be more connected to their family.
Overall, men who are involved fathers during early adulthood usually turn out to
be good spouses, workers, and citizens at midlife. Despite some of the documented
short-term costs of father involvement for men such as stress, increased work–
family conflict, and decreased self-esteem, these costs do not appear to reduce
overall satisfaction with parenthood. Long-term, high involvement has a modest,
positive impact on occupational mobility, work success, career success, and the
father’s societal generativity.
1.3.4 SAHFs Paternal Role Salience
One of the main areas in research on fatherhood focuses on parental identity

(Mauer, Pleck, & Rane, 2001). Parental identity is to what degree an individual sees
parenting behaviors as being important to themselves. Mauer (2001) examined
parental identity in terms of how an individual’s spouse evaluates parental
behaviors performed by that individual, which was termed partner’s reflected
appraisals and how that individual perceives they are being evaluated by their
spouse, which was termed perceived reflected appraisals. Mauer (2001) examined
these evaluations in the context of traditional and non-traditional gender roles. For
fathers, the traditional gender and parenting role was that of breadwinning, or
working outside of the home and providing finances for the family. An important
aspect of parental identity is a concept known as parental salience. Each individual
has many different identities; these identities occupy positions on a hierarchy, with
certain identities being more important than others. Parental salience is the com-
mitment the individual has to their parental identity. When parental salience is high,
132 J. I. Arante
an individual will actually seek out situations that will allow them to act out their
parental identity.
Bruce and Fox (1999) found that father role salience was positively correlated
with father involvement, suggesting that men who were high on father role salience
also placed their father identity high on their hierarchies of identities. Nonetheless,
an area of research into fatherhood focuses on how involved the fathers are in
direct, hands-on caretaking activities of their children. Wood and Repetti (2004)
reported that gender and age of the children and mothers hours of employment
outside of the home all factored into how much time fathers spent engaged in
childcare activities. The higher the percentage of male children in the family and the
older the youngest child was in the family, the more time spent by fathers in
childcare activities.
In addition, the more hours the mother spent working outside of the home, the
more time the father spent on childcare. Interestingly, fathers also engaged in more
childcare activities on the weekends (Bureau of Labor Statistics, 2011), suggesting
that when work was not a priority, as it is during the week, fathers were more
involved with their children. Although many fathers spend less time with their
children than mothers, research shows that children whose fathers engage in a high
proportion of childcare have greater cognitive skills, better social adjustment, and
less traditional attitudes about gender roles.
These children also have higher self-esteem, fewer behavioral problems, and less
psychological distress. Interestingly, the more childcare fathers perform, the
healthier they are. It would seem that father involvement in childcare is beneficial
for both children and fathers.
Fathers’ knowledge about child development is associated with positive
engagement, though not time in routine care. Furthermore, numerous interventions
designed to promote parenting skills among fathers have increased. In a recent
example using a quasi-experimental, pretest–posttest design, traditional head-start
parent involvement activities were adapted specifically for fathers. Fathers in the
treatment group showed increased confidence in their parenting and those who
received a high dosage of the intervention showed significant increases in
engagement and accessibility, as well as increased support of their child’s learning,
in an 8-month follow-up.
One important limitation of most available studies of the association between
positive paternal involvement and child outcomes is that maternal involvement is
not taken into consideration. One longitudinal study conducted by National
Statistics on Family and Home life in Great Britain published in 2002 yielded that
positive paternal engagement was associated with lower frequency of later behavior
problems among boys, as well as among children whom parents initially reported as
difficult to raise, controlling maternal involvement. In a large sample, of British
adolescents, positive engagement by fathers contributed significantly and inde-
pendently to positive school attitudes. Taking this additional analysis into account,
10 of 14 studies controlling for maternal involvement and employing different
source data thus found positive correlates of paternal involvement. Yeung, Duncan
and Hill’s (2000) longitudinal analysis using PSID found that fathers’ attitudes,
church attendance, and risk avoidance when their children were young predicted
their children’s education, wage rate, and avoidance of non-marital births as young
adults, with mothers’ characteristics and behaviors as well as sociodemographic
factors controlled.
There is very little discussion of Southeast Asian fathers’ roles in the literature.
Anecdotal writings describe Southeast Asian fathers as the head of the household,
the chief provider to the family and child disciplinarian. Nguyen (1994) conducted
an ethnographic study observing several villages in Laos which found that although
mothers devoted more time caring for the children, fathers were the head of the
household and made most decisions concerning the family’s finances, children’s
health and schooling. Kibria’s (1993) anthropological interviews in twelve immi-
grants Vietnamese households found that both men and women agreed that men
assumed the primary breadwinning role in families. However, there is some evi-
dence indicating that the roles and responsibilities of Southeast Asian fathers have
changed after their post-migration resettlement. For example, Lynch and Richards
(1997) used a qualitative approach to study ten families (six Cambodian and four
Vietnamese) by examining the construct of family identity; they found that the
primary breadwinner role, usually performed by the father, changed in the USA.
Respondents in the study reported that economic hardship requires the breadwinner
role to be divided between two parents and other family members, especially
between parents and older children. There were even times that role reversals
occurred in which the father stayed at home and the mother became the bread-
winner. Xiong (2001) reported in his study with 10 Hmong families that role
reversal in USA created more active participation of the father in their children’s
day-to-day activities than when he was the sole breadwinner of the family.
Evidence from intra-cultural and cross-cultural research also reveals how par-
ents’ work roles affect maternal and paternal involvement with children. For
example, the AKA of Central Africa and the Batek of Malaysia exhibit egalitarian
and parental relationships as well as similar and often shared work roles. AKA and
Batek fathers are involved with their children both in their villages and homes, and
in their work tasks, where children often work alongside their fathers. According to
Hewlett (1992), the shared economic activities of AKA and Batek fathers and
mothers lead to greater daily interaction between fathers and children. This inter-
action often leads to paternal familiarity with a broad range of children’s needs, and
thus increased opportunities to practice and master childrearing skills.
In the Philippines, the implications for Filipino parents’ attributions are less
explicit. Parents’ beliefs are rooted, in part, in adults’ conceptions of the nature of
children. In a qualitative study on concepts of children and parenting, 74 mothers
and 13 fathers expressed that children do not have a “mind of their own”; that is,
they have yet to develop reason and an understanding of reality, are impulsive and
demand immediate gratification, and possess a natural penchant for mischief. These
beliefs legitimize parental authority and children’s subservience. Indeed, if a child
does grow up to be “good,” then this is primarily attributed to proper discipline,
134 J. I. Arante
monitoring, and the teaching of values, according to Filipino mothers. In Durbrow’s

(2001) cross-national study of Filipino, American, and Caribbean mothers, only
26% of Filipino mothers believed that competence is inherent in the nature of the
child (although this is more than the number of U.S. and Caribbean mothers who
thought the same).
Although the discourse on Filipino sociocultural and family values has been
largely consistent, recent demographic trends suggest that the Filipino family is
changing. Increasing numbers of women in the labor force, single-parent homes,
overseas migration, and other influences of globalization may portend a shift in
parenting beliefs and practices. Medina (2001) observed that Filipino parents “are
adapting gradually to the changing times by shifting their childrearing orientation
from dependency to independence, from restrictiveness to permissiveness, from
extreme control to autonomy, and from authoritarianism to liberalism and indi-
viduality.” However, there are few empirical data to support this assertion, and the
current study examines, in part, contemporary Filipino parents’ cognitions.
1.3.5 SAHFs Subjective Well-Being
Men who embrace the stay-at-home dad role are carving a new niche in a culture
that traditionally views masculinity in a hegemonic patriarchal fashion, one in
which masculinity is largely defined by career and paycheck. This traditional tie of
masculinity with finances and power also creates an inner dissonance for SAHDs,
since they withdraw from the workforce as their primary function. Additionally,
perceived social regard of SAHFs is lowest when compared to working fathers,
working mothers, and stay-at-home moms (Brescoll & Uhlmann, 2005). Benjamin
(1988) refers to the necessity of recognition from others to define self and that this
negative reflection can create a social identity crisis.
Yet there are SAHFs, who have been in their role for more than a year, and who
talk of not only how they enjoy the role, but also of altering career or
work-from-home plans to accommodate their children’s needs. These men are
comfortable enough with their role to be interviewed on television or by newspaper
reporters. These are men who have been able to establish a sense of well-being.
This is an important hurdle, as one of three cornerstones to quality of life. In a
utilitarian mindset, economic, social, and subjective (personal) well-being consti-
tute the good life.
Establishing Subjective Well-Being (SWB) is foundational to sustaining the
stay-at-home dad trend. It is a cornerstone over which individuals have considerable
control. Diener argues that well-being is a unique answer for each individual—a
sense of subjective well-being determined by―people’s own evaluations of their
own lives [as developed by the components of life satisfaction… satisfaction with
important domains… positive affect… and low levels of negative affect (2000)].
Life satisfaction is a higher order of magnitude than satisfaction with important

domains, because it is overall satisfaction. This is different from satisfaction of
important domains, which is not so holistic. Diener posits that some people have a
buoyant SWB; they adapt to changing circumstances faster than others due to their
temperament, and by adjusting their goals and expectations.
Essentially, as the U.S. Census Data in 2004 points out in a national survey of
more than 200 SAHFs and revealed that those who reported receiving support from
their mate, family, and friends also experienced high levels of psychological
well-being and relationship satisfaction. Fathers who said they felt confident about
their parenting skills seemed much happier. Of those, the ones who encouraged
their children to develop independence and who felt comfortable being nurturing
and affectionate with the children expressed the highest degree of satisfaction.
Perhaps unsurprisingly, given Inglehart and Baker’s work published in (2000),
worldwide results showed higher subjective well-being in relation to fulfillment of
needs (10–23% of total variance, globally, and for all needs taken together) while
basic needs fulfillment (food and shelter), again globally, accounted for nearly
two-thirds of that variance. It was the deeper levels of the investigation that illus-
trated some of the more dynamic aspects of Maslow’s hierarchy, however. Life
evaluations (on a scale of one to ten) were most strongly predicted by basic needs
fulfillment (food and shelter) in comparison to the other needs, while positive
feelings were most strongly predicted by respect and social needs.
Negative feelings, meanwhile, were best predicted by basic needs, respect, and
autonomy. Adding income to these considerations more than halved the proportion
of explained variance related to basic needs, and Tay and Diener wrote, “This
implies that a substantial part of the variance between basic needs and life evalu-
ations is attributable to income; higher income is associated with life evaluations in
part through the fulfillment of basic needs.”
Tay and Diener then explored whether the order of Maslow’s pyramid (basic
needs, safety, social, respect, mastery, and autonomy) was reflected by the data and
found that basic and safety needs were tied to country-level conditions while
psychological needs were more strongly related to individual-level conditions.
While the construction of Maslow’s hierarchy suggests the needs lower on the
pyramid must be completed in full before satisfaction of the next need can begin,
Tay and Diener’s research showed instead a less precise and more dynamic ful-
fillment of needs. Although the basic structure of the pyramid, and an individual’s
progress through it in the fulfillment of needs, remained intact, Tay and Diener
showed that in some cases, higher psychological needs were being fulfilled even
though country-based basic needs had not been fully met (p. 361), thereby enabling
people in poorer countries, where basic needs may go permanently unmet, to still
fulfill higher needs such as respect. For the psychological needs, however, without
consideration of the first-level basic needs, Maslow’s pyramid held up, for the most
part, but with longer acquisition times for the fulfillment of each need while
ascending the hierarchy. “This suggests Maslow’s ordering, in which the fulfillment
of lower and higher psychosocial needs have a widening gap—lower needs are
fulfilled faster relative to higher needs,” they wrote.
136 J. I. Arante
2 Method
Research Design
The researcher adopted the sequential exploratory design since it focuses on the
quantitative and qualitative questions that call for real-life contextual understand-
ings, multi-level perspectives, and cultural influences. Essentially, the researcher
will utilize the quantitative data as basis for assessment, interpretation, and appli-
cation of quantifiable results, such as levels of marital satisfaction and correlate with
levels of subjective well-being among SAHFs. Thus, gathered data will serve as the
cool cumulative analysis. While the qualitative approach through one-on-one
interview will allow the researcher to gather deeper and more expansive viable
results in the form of qualitative data.
Participants and Sampling Procedure
This study was conducted in Bgy. 50, 53, 54, 55, and 56 all comprising the Zone 7
of the Sta. Clara District, Pasay City, with a total combined 314 households. Forty
heads of the households were reported belonging to the SAHFs as reported by the
Pasay City Social Welfare Department through the Pantawid Pamilyang Program
registered in 2012 by the respective Zone Manager per Barangay. These 40 head of
the households, who were identified as being a SAHF served as the main respon-
dents for this study and answered the questionnaires along with undergoing the
one-on-one interview with the researcher. The distributions of the participants are
such: 8 SAHFs (Bgy.50), 10 SAHFs (Bgy.53), 8 SAHFs (Bgy.54), 7 SAHFs
(Bgy.55), and 7 SAHFs (Bgy.56). The primary breadwinner for those 40 SAHFs is
the wife whom 15 wives were reported as factory workers for RC Cola Pasay City
Distribution Center in Bgy.50, 10 wives are employed as Street sweepers, 10 wives
are employed as sales clerk in various stalls in the public market, and 5 wives are
employed as part-time helpers. Like other districts in Pasay City, Sta. Clara district
provides the following amenities for all its surrounding Barangays: Sta. Clara
Parish Church, Pasay City General Hospital, Pasay City North High School,
Efifanio Delos Santos Elementary School, Padre Burgos Elementary School, Pasay
Public Market, Savemore Grocery Store, Puregold Grocery Store and along with
various sari-sari stores and internet kiosks.
Research Instruments
The following tests were administered in order to gather quantitative data from the
participants: (Prior permission from the author of each test was given and secured
for the use in this study before any administration.) Informed consent was also
sought and given by each participant before answering any questions or instruments
from the researcher.
Marital Satisfaction will be measured by the “Marriage Quiz” by Dr. Nathan
Cobb which assesses a husband’s ability to handle conflict resolution within the
marriage, views on partnership: sub-variables (Joint Decision Making, Couple
Identity, Mutual Influence), support: sub-variables (Standing Beside, Instrumental

Help, Relationship Priority), and chemistry: sub-variables (Physical Intimacy,
Romance, Conversation).
Parental Salience will be measured by the “Parental Stress Scale” by Dr. Judy
Berry, which contains 18 items representing pleasure or positive themes of par-
enthood (emotional benefits, self-enrichment, personal development) and negative
components (demands on resources, opportunity costs, and restrictions).
Respondents are asked to agree or disagree with items in terms of their typical
relationship with their child or children and to rate each item on a five-point scale.
Higher scores on the scale indicate greater stress. Results of these tests will also be
the basis for the “Subjective Well-Being” of each respondent.
The Parental Stress Scale demonstrated satisfactory levels of internal reliability
(0.83), and test–retest reliability (0.81). The scale demonstrated satisfactory con-
vergent validity with various measures of stress, emotion, and role satisfaction,
including perceived stress, work/family stress, loneliness, anxiety, guilt, marital
satisfaction, marital commitment, job satisfaction, and social support. Discriminant
analyses demonstrated the ability of the scale to discriminate between parents of
typically developing children and parents of children with both developmental and
behavioral problems.
3 Results
Profile of the Participants

Table 1 presents the respondents’ age, number of years of marriage, educational
attainment, number of children, presence of pre-school children, and length of being
a stay-at-home father (SAHF).
Age. It can be seen that out of 40 participants; 25% of the respondents’ surveyed
belonged to the 20–29 years old group which is also considered as the youngest age
grouping. The breakdowns of the other age groups for the respondents are as
follows: 30–39 years at 12%, 40–49 at 35% representing the largest age grouping
for the respondents. 28% of the respondents belong to the age group of
50–59 years. This means that majority of the respondents are a lot older at the time
of being surveyed as a stay-at-home father.
Years of Marriage. Based on the findings, the data shows that out of 40
participants; 3 participants or 7% belongs to couples who had been married for
1–3 years. These 3 participants happen to be the youngest SAHFs surveyed at the
age of 21. Also, these 3 individuals also had at least one child whose age is at least
1–1½ years of age. Their wives belong to the group of Barangay sweepers, which
became the reason why they opted to SAHF since they did not finished high school
and have no formal education. Their family is also listed as the Pantawid Pamilya
recipients of DSWD within their Barangay, which is contributing a meager monthly
138 J. I. Arante
Table 1 Profile of the participants

Variable Frequency Percentage (%)
A. Age
20–29 10 25
30–39 5 12
40–49 14 35
50–59 11 28
Total 40 100
B. Years of marriage
1–3 3 7
4–6 3 7
7–10 5 13
11–13 4 10
14–17 8 20
18–21 9 23
22–25 5 13
25+ 3 7
Total 40 100
C. Educational attainment
Grade School 1 2
Junior High School 1 2
Senior High School 9 23
2 years College 15 38
College Degree 14 35
Total 40 100
D. Number of children
1–2 22 55
3–4 10 25
5–6 7 18
7 1 2
Total 40 100
E. Presence of pre-school
Children Boys Girls Boys Girls
Less than 1 year old 6 12 15 30
1 year–3 years old 16 8 45 20
*Twin girls (1½ years old)
F. Length of being a SAHF
1–6 months 13 33
7–11 months 9 22
1–3 years 7 18
4–6 years 3 7
(continued)
Table 1 (continued)
Variable Frequency Percentage (%)
7–9 years 3 7
10+ years 5 13
Total 40 100
income for the SAHFs. The other length of SAHFs marriages is also listed as
follows: 3 participants or 7% reported being married 4–6 years, 5 participants or
13% also reported being married for 7–10 years, while 4 participants or 10%
reported being married for 11–13 years. The highest number of participants belongs
to the grouping of 14–17 years of marriage which are 8 participants or 20% and the
grouping of 18–21 years of marriage being 9 participants or at 23%. The data
means that more couples who have been married for more than 10 years report the
highest number of recorded stay-at-home fathers.
Educational Attainment. As reflected in the data, the scores yielded that 2% of
SAHFs was elementary graduate or was a junior high school graduate and 9 or 23%
who actually completed high school. The highest numbers of respondents were
actually 15 or 38% SAHFs who actually completed a 2-year college course while
14 or 35% SAHFs actually graduated from college and completed their degree. Due
to the recent economic down trout, in spite of having a college degree was not even
enough for them to be qualified for any job.
The corresponding one-on-one interview yielded also that there was skills
mismatch between what the SAHFs achieved in their college degree to what the
actual industry needed, which further complicated their ability to find employment
parallel to their degree.
Number of Children. As gleaned from the data, majority of the respondents
comprising 55% have 1–2 children and represented the highest frequency among
the respondents reporting this number of children. During the corresponding
one-on-one interview, it was later revealed that all the respondents are devout
Catholics and adhered to family planning teachings of the Catholic Church which
reflects the conservative number of having children. 25% of SAHFs reported
having 3–4 children and 18% also reported having either 5 or 6 children. The
lowest frequency of having 7 children was actually reported by only 1 SAHF.
Presence of Pre-School Children. As manifested in the data, it can be seen that
15% are boys and 30% are girls who are less than 1 year old as being the children
of the SAHFs. The highest children were reported at 45% boys who belong to the
1–3 years old. There were also 20% children who are girls belonging to 1–3 years
old. It was during the actual survey that it was learnt that one SAHF is caring for
1½-year-old twin girls. The results substantiate the different and difficult challenge
that poses a SAHF caring for pre-school children.
Length of Being a SAHF. As indicated in the data, 33% of the respondents
which is also the highest frequency reported having been only a SAHF at
1–6 months. In ranking order, 22% reported 7–11 months, 18% reported 1–3 years,
140 J. I. Arante
7% reported 4–6 years, and 7% also reported 7–9 years as being a SAHF. 13%
signified that they had been a SAHF for more than a decade.
Participants’ Levels of Marital Satisfaction
Table 2 shows the mean, standard deviation, and interpretation of the SAHFs level
of marital satisfaction in terms of partnership, support, and chemistry. Each par-
ticipant is to rate their responses from a scale of: “1–2 Very Unhappy, 3–4
Unhappy, 5–6 Neutral, 7–8 Happy, and 9–10 Very Happy”. The gathered results
yielded an overall mean score of 7.69 for the domain “Partnership” with a std. of
0.0577 and as its sub-variables as follows: Joint decision making with the mean of
7.72 this is the total averaged of all the SAHFs’ responses who chose being happy
in their joint decision making abilities with their wives. It was reflected from the
one-on-one interview that when it comes to major decisions, the husband still waits
and values the responses of their wives. They often console each other in the
evening when their children are asleep. Couple identity was also reported as being
rated at 7 which is being happy by the SAHFs. SAHFs also reflected during the
interview that in spite of their reversed roles that in each other, they draw strength
and each one compliments the other. Sharing equal power through joint decision
making and feeling complimentary to each other made the SAHFs rate 7 as their
chosen response in regards to mutual influence. When added together, as a hus-
band and wife, the SAHFs’ perception of their situation is that they are “Happy” as
a “Partnership” in their marriage. An overall score of 7.80 with a std. 0.1802 is
Table 2 Mean and standard deviation of the SAHFs levels of marital satisfaction
Level of marital satisfaction Mean Standard Interpretation of
deviation SAHFs
Partnership
Joint decision making 7.72 0.1127 Happy
Couple identity 7.72 0.1127 Happy
Mutual influence 7.62 0.1086 Happy
Overall for partnership 7.69 0.0577 Happy
Support
Standing beside 7.95 0.1979 Happy
Instrumental help 7.85 0.1875 Happy
Relationship priority 7.72 0.1127 Happy
Overall for support 7.80 0.1802 Happy
Chemistry
Physical intimacy 7.82 0.1812 Happy
Romance 7.65 0.1097 Happy
Enrichment 7.90 0.1970 Happy
Overall for chemistry 7.79 0.1282 Happy
Overall (Partnership, Support, and 7.76 0.060828 Happy
Chemistry)
considered as the highest being reported by the SAHFs is, “Support” as being
“Happy.” Standing Beside yielded the highest mean of 7.95 which entails that they
are together as one in facing the tough times ahead. One SAHF reflected how he
appreciates his wife remaining strong for the family especially when he was laid off
from work after having worked for the past 5 years. He cherished how his wife
consoled him when he just felt desolate regarding his inability to not provide for his
family. Instrumental Help also rated at a mean of 7.85, second highest within this
domain. It entails how the SAHFs’ respondents value his wife’s contribution to the
betterment of the family welfare. The SAHFs do not see his wife as a mere com-
petition for employment but rather as a partner who is contributing to daily needs of
the family, regardless if he was the one working or if it was his wife, as a sentiment
expressed by one SAHF respondent. SAHFs recognize also how his wife puts the
needs of their family ahead of their own. An endearing quality which a SAHF
shared that made him answer 7 in the questionnaire because he was just happy with
his wife’s herald priority which is their relationship and family. For the domain
of “Support,” the SAHFs again yielded a Happy interpretation based on the above
breakdown of mean average results in the three of its domains: standing beside,
instrumental help, and relationship priority. In the twenty-first century, the evolu-
tion of chemistry as it pertains to man is now known as, “Human Chemical
Thermodynamics” (www.eoht). Based on the Marriage quiz, it still utilizes the
word “Chemistry”, the SAHFs who participated in this study manifested an overall
rating of 7.79 mean with a 0.1282; it entails that their attraction to their wives had
undergone a transcendental molecular reaffirmation rather than just mere physical
infatuation, as the term Chemical Thermodynamics implies. Physical intimacy was
operational defined in this study in terms of physical and sexual attraction to their
partners. Respondents for this study indicated a rating of 7.82 which entails that
there is a level of contentment and happy demeanor in regards to physical and
sexual attraction to their wives. Several SAHFs indicated that they rated 7 on the
questionnaire because as the months and years progresses in their marriage, their
sense of fulfillment for their wives continues to increase with time. Romance or
simply making time to be with each other was rated second under the domain of
Chemistry with a mean of 7.65. As one SAHF was observed, he takes time
everyday to bring his wife lunch at the RC Factory and utilizes this opportunity as a
time to make her feel wanted and special. A rating of 7.90 being the highest under
the domain of Chemistry was rated by the SAHFs for “enrichment.” The SAHFs
manifested that the time spent to be together, even with just watching television at
home and sitting next to each other gives a feeling of self-fulfillment for both of
them leading to a happy rating of enrichment. As a whole, the domain for
chemistry paves the way for the participants to give it an overall rating of Happy
demeanor.
142 J. I. Arante
Participants’ Levels of Paternal Salience

Table 3 shows the mean, standard deviation, and interpretation of the participants’
paternal salience. The results yielded a mean of 3.43 with a STD. of 0.3455 which
means that the participants are basing their responses per question and/or per sit-
uation. It does not mean that they overall agree nor disagree that their being a SAHF
is a stressful task. Rather, they based their responses per situation that arises and a
level of maturity with acceptance precipitates. In turn, paternal salience becomes
the dominant experiences of each SAHF by looking at their day-to-day experiences
rather than basing their perceptions and feelings as a whole concept of being a
SAHF. These are further substantiated during the one-on-one interview sessions
with each SAHF. It is congruent with their yielded results of being happily satisfied
with their marriage and that of their spouses’ role as a breadwinner.
Significant Relationship Between Levels of Marital Satisfaction
and Levels of Paternal Salience
Table 4 shows the mean, standard deviation, and interpretation of the participants’
levels of marital satisfaction and levels of paternal salience in terms of its significant
relationship. The results revealed a STD of 0.01323 which means that marital
satisfaction does not influence paternal salience.
It yields that the participants are satisfied with their marriage and the role of their
wife as a breadwinner. SAHFs are also accepting of their role as “bread makers”
rather than “breadwinners.” Several participants have responded that they value
their wife as an individual and greatly acknowledge her being employed as a
positive force within their family, thus rating the questionnaire given with a
“Happy” and committed relationship. In terms of Standing by their wives, the
respondents also shared that they are proud of their wives and see as a success for
their own selves. Physical intimacy becomes a higher level of mutuality as they
continue to find small ways such as watching television to be together. Their levels
of intimacy are just not being satisfied sexually, but being gratified, together as a
couple. Imparting good moral values becomes a rich ingredient in which the par-
ticipants want to impart to their children as their own form of heritage and legacy.
In all, the overall yielded results leads to a satisfaction within the SAHFs marriage.
Table 3 Mean and standard deviation of the SAHFs levels of paternal salience
Levels of paternal salience Mean Standard deviation Interpretation
3.4375 0.345501 Undecided
Table 4 Correlation of the SAHFs levels of marital satisfaction and levels of paternal salience
Relationship between levels of marital df f-ratio r Decision
satisfaction and levels of paternal salience
78 13.94640 0.01323 Accept
null
Hypothesis
The results also showed that when correlated, as the respondents rated a grade of
7–10 in their levels of marital satisfaction which is being happy, then the levels of
paternal salience remains at a varied score of 3 which shows that they are not
experiencing stress in their daily childrearing.
Lived Experiences Drawn from One-on-One Interviews with SAHFs

Partnership and Marriage
Participants of this study viewed marital satisfaction in terms of the partnership,
support, and chemistry. The following were the responses of the participants in regard
to viewpoints toward the main domain of partnership in relationship to his wife:
Definitely yes, I love my wife and I feel complete when I’m with her. I love her uncon-
ditionally. I enjoy spending my time with her. Even if we have work we will make a point
that we go out watching movies or dining at a restaurant or just a walk with my wife.
(SAHF 1)
We are happy, because my wife is very understanding. (SAHF 2)
Yes. As a couple, it is a duty to spend quality time. (SAHF 3)
Yes, I enjoy everything about my wife. Spending time with her is awesome. (SAHF 4)
We are happy, because my wife is very understanding. (SAHF 5)
Yes. I am enjoying my wife’s way of being and I always enjoy spending time with her.
(SAHF 6)
Every weekend I want to be with her because it is my one way to connect ourselves after a
lot of doings. (SAHF 7)
Spending time with my wife makes me very happy. (SAHF 8)
As the evidence suggests, SAHFs participants reported that they were happy in
their status as a married couple, especially in the area of partnership. Thus, fathers’
perceived investments in their parental roles and actual levels of paternal
involvement are moderated by mothers’ beliefs about the role of the father.
Chemistry, Sexuality, and Marriage
The respondents of the study expressed their opinions on being sexually attracted to
their wives, as a form of intimacy through the following statements:
Of course it is, being intimate with your wife. (SAHF 1)
We satisfy each other, o.k. (SAHF 2)
Yes, I feel sexually attracted to my wife, because I really love her. (SAHF 3)
Of course, we are always satisfied. (SAHF 4)
Yes, when you love your wife and vice versa. (SAHF 5)
We find time to be with each other physically. (SAHF 6)
Yes, and there is a satisfaction after. (SAHF 7)
Yes, I find my wife beautiful and sexy. (SAHF 8)
144 J. I. Arante
As the evidence manifested, the SAHFs reported positive human chemical

thermodynamics. The importance of the marital context considered, recent research
indicates that for biological fathers regardless of their fathering status (residential,
nonresidential, residential boyfriend, non-resident boyfriends, or non-resident
friend), the fathers who had at least a romantic relationship with the mother were
more involved with their children across types of involvement than those in no
relationship, marital or otherwise.
Childrearing Practices and Paternal Salience
As many stay-at-home mothers can attest, the days could drag on. The dad was not
sure what they should be doing. Some talked of being overwhelmed at times and
facing difficult moments when their babies were screaming and would not stop. At
other times, they felt bored, sometimes stressed, sometimes alone and socially
isolated.
Conversely, the stay-at-home fathers who participated in this study disputed the
above statements by reporting positive experiences with their children, such as:
As a father and a dad it is my willingness for my children to grow and have an upbringing
that bears good words and spiritual foundation. As a Catholic it is my duty to teach my son.
(SAHF 1)
Yes, we teach our son good values. (SAHF 2)
As husband and wife for our kids we still teach them good values in life and we practice it
in our home. (SAHF 3)
Yes, because I want them to grow up with a good values. (SAHF 3)
Yes. Family will always be the foundation of any individuals moral. (SAHF 4)
Yes, that can guide them when they have their own family. (SAHF 5)
Yes, we both teach what moral virtues we have, and we are always saying to them that they
need to have good moral and right conduct for her to have a happy and peaceful life.
(SAHF 6)
Not always, there are some characteristics that we don’t want them to follow, i.e., making
them to do/help out in house chores. (SAHF 7)
As the evidence concludes, SAHFs do not treat childrearing as a negative hin-

drance but rather a positive fulfilling experience in which he must actively partake
as a parent. Infants of highly involved fathers, as measured by amount of inter-
action, including higher levels of play and caregiving activities, are more cogni-
tively competent at 6 months and score higher on the Bayley Scales of Infant
Development. By one year, they continue to have higher cognitive functioning, are
better problem solvers as toddlers, and have higher IQ’s by age three. When
compared with mothers, fathers’ talk with toddlers is characterized by more (e.g.,
“what,” “where,” etc.) questions, which require children to assume more commu-
nicative responsibility in the interaction. This encouraged toddlers to talk more, use
more diverse vocabulary, and produce longer utterances when interacting with their
fathers (Rowe, Cocker, & Pan, 2004).
4 Conclusion
Overall majority profile of the respondents are a lot older at the time of being
surveyed as a stay-at-home father. The data means that more couples who have
been married for more than 10 years report the highest number of recorded
stay-at-home fathers. Most of the participants are in reality that due to economic
constraints their number of children agrees with their financial life status.
The SAHF who reported having seven children was observed having the biggest
problem in terms of financial support since his youngest child is only 3 years of age
and his wife is only a minimum wage earner at the nearby RC Cola factory. The
amount of everyday stress in caring for these children is quite a challenge, espe-
cially for pre-school children. Yet, in spite of the daily rigors, SAHFs do not report
this scenario as being a major struggle. Due to high work turnover, it was also
decided that wives will now continue to work full-time while the fathers will be the
one to assume the household daily responsibilities.
SAHFs report that they are reporting “Happy” with their marriage in terms of
their spouses: partnership, support, and chemistry.
Participants reported that they either agree or disagree in terms of experiencing
parental stress; rather their responses are based on per situation that arises and a
level of maturity precipitates. In turn, paternal salience becomes the dominant
experiences of each SAHF by looking at their day-to-day experiences rather than
basing their perceptions and feelings as a whole concept of being a SAHF. These
are further substantiated during the one-on-one interview sessions with each SAHF.
It is congruent with their yielded results of being happily satisfied with their
marriage and that of their spouses’ role as a breadwinner.
The participants are satisfied with their marriage and the role of their wife as a
breadwinner. SAHFs are also accepting of their role as “bread makers” rather than
“breadwinners.” The results also showed that when correlated, as the respondents
rated a grade of 7–10 in their levels of marital satisfaction which is being happy,
then the levels of paternal salience remain at a varied score of 3 which shows that
they are not experiencing stress in their daily childrearing.
Live experiences drawn from one-on-one interviews with SAHFs indicate that
“Psychosocial Interventions” will be needed to formulate as a support unit for the
SAHFs as they continue to assume their everyday responsibilities.
5 Implications
This study has generated interesting insights and perspectives relative to the
assessment of the socio-evolution among selected Filipino SAHFs. The participants
had expressed their significant experiences being a SAHF. The quantitative and
qualitative data of the respondents yielded positive results, yet to maintain its
sustainability; however, there is a felt need to:
146 J. I. Arante
• Enhance the quality of marital satisfaction by offering joint activities between

the couples as a “husband and wife.” Often when the wife comes home from
work, their time at home now get preoccupied with catching up on the daily
activities of their children. This can be done through the offering of the Modular
Program in Commercial Cooking in which both husband and wife can
participate.
• Create activities that will increase positive acceptance of the participants’
paternal role salience. Activities such as creating a support network for other
SAHFs to assist each other if there is a need to do any babysitting to give a
much-needed reprieve for those that have especially the presence of pre-school
children. A much-needed program in the barangay levels.
• Conceptualize a program of intervention that will also help create positive
regards to a child’s emotional well-being. One must not just realize the activities
of the SAHF but also the live experiences that children goes through each day
with their father.
• Offer a psychosocial intervention that will deepen the relationship of between
the SAHF and his wife. A creative psychosocial intervention that will also
enhance positive self-esteem for the husband and promote better childrearing
practices. An innovative psychosocial intervention that will contain spirituality
as a lesson for continual strengthening of the family life.
• Conceptualize, create, and implement psychosocial programs in which the Local
Government Unit will mobilize its barangay to create support activities for each
stay-at-home father.
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Two Moms in a Home: Lived Experiences
of Children with Same-Sex Parents
Lorita Ramirez Mendoza
Abstract This qualitative study aimed to provide a comprehensive overview of the

experiences of children whose parents are of the same sex. The interview conducted
to five (5) children and five (5) family members yielded significant and interesting
revelations as to children’s lived experiences. The majority of the children view
their families as happy families—atypical family headed by responsible parents. In
terms of the primary participants’ feelings about their current parents, two extreme
feelings—positive and negative feelings—were revealed. Moreover, children
believed that they have intimate relationships with both parents and appear that
each family member understands one another and the family setup in general.
Children’s major challenges are related to their social lives, biological fathers and
their relatives, and about the current parents, and the family structure itself. Lastly,
factors as to why children are satisfied and dissatisfied with their “two moms”,
advantages and disadvantages of having same-sex parents, and their learning’s and
realizations were also reported. Practitioners in the counseling profession, most
specifically guidance counselors, are hoped to derive inputs from this study on
identifying areas where same-sex parented families can be better supported, par-
ticularly the children. Likewise, this could also serve as a benchmark in developing
a guidance program intended for children raised by same-sex parents.
Keywords Family Family structure Same-sex parents Children

Parenting
1 Introduction
Family serves as an integral part of one’s growth and development. As a matter of

fact, a number of studies have highlighted the importance and role of the family in
different domains of life particularly among adolescents such as occupational
L. R. Mendoza (&)
University of the Assumption, San Fernando, Philippines
e-mail: lhor_mendoza@yahoo.com

https://doi.org/10.1007/978-981-10-8034-0_9
150 L. R. Mendoza
aspirations (Eccles, Jodl, Malanchuk, Michael, & Sameroff, 2001), promotion of

substance use (Jimenes-Iglesias, Garcia-Moya, Moreno, & Rivera, 2013), and
aggression (Farrell & Pugh, 2012). The constant changes in the society made a great
impact on everyone which excuses no one, not even the basic unit of its own—the
family. The family should be abreast of different changes in order to survive the
different challenges and demands that the society has to offer. With this, it will be
able to serve its purpose and eventually help the society in general to become as
effective and as productive as possible.
In addition, the changes in roles and responsibilities (Madlambayan, 2013) and
family structure (Alderson & Boon, 2009; Rawsthorne, 2009) of the family
members are just few of the major changes they need to face. Same-sex parented
families in which both women or both men living together under one roof with the
biological children of one half of the couple is another imperative and controversial
transformation that needs to be addressed in this modern time. Most, if not all, of
this family setup is composed of the biological children of one half of the couple
from their previous heterosexual relationship (Gregory & Ray, 2001). The saddest
part is that they are not fully acknowledged and accepted in different countries most
especially in the Philippines (Punay, 2014).
In this non-traditional family structure, a number of concerns, issues, and
challenges have been raised by members of the family who are very much affected
in a variety of ways. Alderson and Boon (2009) reported that some of the chal-
lenges experienced by this kind of relationship are homophobia, heterosexism, and
economic disadvantage. On the other hand, enhanced emotional intimacy (e.g.,
enhanced sexual satisfaction), greater freedom and autonomy (e.g., greater sexual
freedom), and more equal sharing of responsibilities are the benefits that one can
get out of this relationship. They also added that children in same-sex parented
families may experience problems and advantages from being raised by the said
parents. However, the researchers failed to identify these problems and advantages
of being children of same-sex parented families. Furthermore, children from
heterosexual families may experience breakdown of relationships between them
and their biological mothers’ new partners (Rawsthorne, 2009). As for the parents
of these families, they are very much concerned with the unending prejudice and
bullying that their children are experiencing. This drastic change in the lives of the
children may be traumatic and leave a great impact on family relationships
(De Vaus & Gray as cited in Rawsthorne, 2009).
Other researchers attempted to compare the experiences of children raised by
same-sex parents and those who were raised by opposite-sex parents. Linville and
O’Neil (n.d.) reported that various aspects such as emotional functioning, sexual
orientation, stigmatisation, gender role behavior, behavioral adjustment, gender
identity, learning, and grade point averages (GPAs) do not differ between the said
groups. In some aspects, these results were supported by Crounch, Davis, McNair,
Power, and Waters (2014), where no significant difference was found between
same-sex attracted parents and opposite-sex attracted parents in terms of children’s
health and well-being. However, the experiences of the former in terms of stigmas
related to parents’ relationships have been highly evident. With this, children may
Two Moms in a Home: Lived Experiences of Children … 151
be affected as well in terms of their mental and emotional well-being. Additionally,

Shechter, Schechter, Slone, and Lobel (2011) cross-examined children’s adjustment
(internalizing and externalizing behaviors), social behavior (aggressive behavior,
prosocial-antisocial behavior, and loneliness) and perceived competence (cognitive
competence, physical competence, maternal acceptance and peer acceptance)
among four family types: single lesbian mother, two-mother lesbian families, single
heterosexual mothers and two-parent heterosexual mothers. It was reported that no
difference was found among the children’s perceived competence across four
family types. However, in terms of the main participants’ externalizing behaviors
(aggression and disruptive behaviors), a higher level was reported among children
with single mothers. On the other hand, children with lesbian mothers reported
lower levels of antisocial behavior and less feeling of loneliness as compared with
children of heterosexual families. In fact, children in families headed by lesbian
mothers reported less feeling of loneliness.
Furthermore, it is imperative to check the feelings, perspectives, and ideas of
the family members regarding the family where they belong. In a lesbian-parented
family, Brown et al. (2006) asked children as to how they define and describe
their family. Surprising and interesting answers were gathered as they answered this
simple yet meaningful question from the researcher. Some of them described family
as “idealized version of two loving and caring parents”, “the one you see more
often”, and “normal family”. Various factors that contribute on how children
defined their family were identified as follows: social contact, biological geneal-
ogy, frequency of contact, family pets, and functional roles of being cared for and
being loved, supported and respected by, and knowing and trusting friends or
family. It is important to note that children’s failure to publicly introduce their
family attribute to the fear of being bullied and teased and of homophobia.
Surprisingly, children (aged 13–16) approaching the teenage years or the adoles-
cence stage felt more awkward often as they deal with their parents’ homosexuality.
Another research revealed that children born from heterosexual family reacted
positively with their mothers’ sexual orientation (Burston, Golding, Golombok,
Perry, & Setvens, 2003). This may be attributed to the children’s negative idea
about their heterosexual family. They cannot help themselves, however, from
thinking what other people might say against them most especially toward their
mothers who are actually attracted to the same sex. Bos, Deck, Gartell, Peyser, and
Rodas (2012) surveyed adolescents with lesbian mothers in terms of their academic
experiences, extracurricular activities, future goals, family interactions, role models,
health problems, and overall being. When asked about their feelings toward their
mothers, adolescents made use of the following words: smart, loving, caring, fun,
beautiful, powerful, and enjoy life. They believed that their mothers become good
models for them. One of the participants reiterated that his mothers have wonderful
character and strong sense of values that he would try to imitate. Similarly, another
participant revealed his desire to be like his parents someday once he reached the
perfect time to have a family of his own. Some of them even admire their mothers
for being hardworking, accomplished, principled, wise, supportive, and helpful. It
was reported as well how much they appreciate their mothers since they taught
152 L. R. Mendoza
them to become open to/accepting of others. However, the foregoing positive

feedback did not hide the feelings of some adolescents in the study who are not
actually in favor with them. Some of them had misunderstandings with their
mothers and described the mothers as irrational. Interestingly, most of the ado-
lescents in the study did not hide the truth about their family setup from their
friends. They are comfortable bringing their friends at home and inform them about
their parents. The various perspectives of children toward their family and parents
may be attributed to a number of factors. Gilbert (2003) pointed out that the
combination of three major factors, namely personal experiences, family forms we
encounter or observe, and attitudes we hold contribute to one’s perception about
family. One’s perspectives need to be considered as they might influence individ-
uals throughout their lives specifically in terms of decision making, interpersonal
interaction, individual and family development, and relationships both inside and
outside the family.
Despite the uniqueness of this family type, many still believe that it is not one’s
sexual orientation or parental sexual orientation nor the structure of the family itself
qualified a person from being a responsible parent that might lead to a productive
and functional family. Regnerus (2012) concluded that in being effective and good
parents, one should not consider parents’ sexual orientation. He believed, however,
that families having same-sex parents might affect the reality of family experiences.
Patterson, Russell, and Wainright (2004) firmly believed that it is the adolescent–
parent relationships that really matters and not the family structure in terms of the
adolescents’ adjustments in different domains such as psychological well-being,
self-esteem, anxiety, school outcomes, school connectedness, and grade point
average (GPA). They also compared school and personal adjustment of offspring in
families headed by opposite-sex and to those families headed by same-sex parents.
They noted that these two groups did not differ significantly in terms of the ado-
lescents’ school and personal adjustment. In a more recent study conducted by
Patterson and Wainright (2007), the comparison between adolescents living with
same-sex parents from those who have opposite-sex parents in psychological
adjustment (which includes depressive symptoms, anxiety, and, self-esteem),
romantic attractions and behaviors, school adjustment were found with no differ-
ence. Even so, adolescents with same-sex parents were reported to be more con-
nected at school than those living with opposite-sex parents. Other than this, they
did not find anymore significant relationship between family type and other vari-
ables. The researchers even emphasized that the quality of adolescents’ relationship
with parents, and not the family type, was regarded as an important predictor of
adolescents’ psychological adjustment, substance use, school outcomes, family, and
peer relations. Those adolescents who have positive relationships toward their
parents reported of having higher self-esteem, fewer depressive symptoms, less use
of alcohols and tobacco, less delinquent behavior, and more likely to have more
friends in school. However, findings from Balen and Bos (2008) contradicted these
findings as they examined stigmatisation, psychological adjustment, and proactive
factors among children in planned lesbian families. They have reported that chil-
dren who have lesbian or gay parents experienced stigmatisation, such as rejection
from peers and other people. This stigmatisation was associated with lower level of
psychological well-being. Findings showed that the parent–child relationship did
not actually moderate the negative association between stigmatisation and psy-
chological adjustment, namely self-esteem, emotional symptoms, and hyperactivity.
Even so, children’s contact with other children who happened to have the same
family structure moderates the relationship between stigmatisation and self-esteem.
It was further emphasized that rejection or stigmatisation could be the result of
lower levels of social acceptance of homosexuality, same-sex marriage, and
same-sex families. With this, stigmatisation may be more pronounced in other
countries like the Philippines which are more conservative and not yet ready to
welcome them with arms wide open.
To date, it is difficult to obtain accurate information on the experiences of
children living with same-sex parents primarily because of fear of discrimination,
prejudice, and violence. Likewise, they are not open with their sexual orientation as
other people may not welcome them in the world they live in. Another reason for
this is that they continue the pattern of living closeted/secretive lives. This kind of
family setup is also unusual as compared to the traditional and ordinary families in
the Philippines. It is also interesting to know how adolescents aged 10–22 (Collins,
Coy, & Laursen, 1998) handle this kind of family setup given the fact that they are
in the transition from childhood to adulthood. This critical stage of their lives also
entails dramatic changes that are emotional, physical, and psychological in nature
(Feldman, 2005). Furthermore, the contradiction and gap with the foregoing results,
concerns, issues, and challenges led to the conceptualization of the present study
about the experiences of children living with same-sex parents. It is now high time
to unveil their experiences as they are the ones greatly affected by this family
setup. This would also contribute to the existing body of knowledge and fill the
major gap in the literature. It is hoped that through the help of the present study,
other people will be enlightened regarding their experiences which, in turn, would
help them to understand and eventually accept them.
To provide a comprehensive overview of the experiences of children living with
same-sex parents was the main objective of the present study. Moreover, specific
objectives set for in the present study were to: (1) explore children’s perception on
their current family setup and their parents; (2) describe the relationship of children
with their parents; (3) identify the challenges of children living with same-sex
parents; (4) determine the factors associated with children’s satisfaction and dis-
satisfaction toward their parents; (5) identify the advantages and disadvantages of
living with same-sex parents; and (6) identify the learning and realizations of
children living with same-sex parents.
The limitations of the present study were the age range and number of partici-
pants in which only five adolescents aged 12–19 took part in the study. For this
reason, the findings of the research cannot be generalized with other children of this
family type and those in a different age group. Although the present study provides
valuable insights on the lived experiences of children living with same-sex parents,
follow-up research on this topic must be undertaken since the present study focuses
on families headed by women same-sex couples. Also, the objectives of the present
154 L. R. Mendoza
study would have been better served if parents’ sexual orientation and children’s
sexual orientation were taken into consideration. Finally, research instruments such
as psychological tests were not utilized to measure other variables imperative to
understand the lived experiences of the participants in the study.
2 Method
2.1 Research Design
This is a qualitative study that utilized the phenomenological method to describe the
experiences of children living with same-sex parents. This type of research further
explains and puts meaning on the incidents in the lives of the participants (Adanza,
Bermudo, & Rasonabe, 2009). To further acquire imperative and in-depth details of
the participants’ experiences, case study method was employed. This method is
very much applicable since a small size of participants took part in the study.
Lastly, triangulation method was utilized to increase trust on the validity of the
participants’ statements and/or to the gathered data. This method requires signifi-
cant others and served as another source of information to meet the objectives of the
study.
2.2 Participants
To identify the participants in the present study, the snowball sampling technique
was used as a strategy. This technique is usually done by many researchers if the
participants are hard to locate or are limited to a very small subgroup of the
population. According to Best and Kahn (2006), this sampling is “used to find
subjects of interest from those who are most likely to be able to identify them
(p. 19).” The participants of the present study were children living with same-sex
parents and were drawn through a referral from the researcher’s friends, colleagues,
students, and relatives. There were five participants who qualified for the study
based on the set inclusion criteria: (1) the child is living with the same-sex parents
for at least one (1) year; (2) he/she is 12 years old and above at the time of data
collection; and (3) the child was born in the previous heterosexual relationship of
one partner and is now being raised in the new, same-sex parented family of one of
the biological parents.
The demographic profile of the main participants along with other information
needed to acquire substantial analysis of the data is shown in Table 1.
Table 1 Primary participants’ demographic profile

Wilma Ivan Sai Kim Mitch
Age 12 16 19 14 12
Sex F M F F F
Highest educational Grade 7 4th year 3rd year Grade 9 Grade 7
attainment (high (high college (high (high
school) school) school) school)
Number of siblings 3 3 Only 8 Only
child child
Birth order Youngest Eldest Only 2nd to the Only
child eldest child
Length of years living 12 years 16 years 19 years 5 years 12 years
with same-sex parents (since (since (since (since
birth) birth) birth) birth)
2.3 Data Collection
As part of the researcher’s preparation before, during, and after the personal
encounter with the participants, the following steps were taken religiously: (1) ex-
perts’ validation of the interview guide; (2) scouting for participants; (3) rapport
building, personal encounter, and interview with the participants; (4) transcription
of the interview; and (5) verification of data.
2.4 Data Analysis
To further unearth and analyze the data gathered based on the reported experiences
of children living with same-sex parents, case study and phenomenological analyses
were applied. For the former, participants and significant others’ answers from the
given set of questions were presented following the sequence of the objectives of
the study. Through this, the researcher was able to see in detail the participants’
experiences along with other information necessary in understanding their experi-
ences. On the other hand, to analyze the acquired phenomenological data from the
interview, guidelines from Hycner’s (1985) phenomenological analysis of interview
data were adopted: (1) transcription; (2) bracketing and the phenomenological
reduction; (3) listening to the interview as a sense of a whole; (4) delineating units
of general meaning; (5) delineating units of meaning relevant to the research
question; (6) determining the categories; (7) training independent judges to verify
the appropriateness of units in relation to their categories; (8) eliminating redun-
dancies; (9) clustering units of relevant meaning; and (10) outlining the framework
156 L. R. Mendoza
3 Findings and Discussion
The primary objective of this research is to provide a comprehensive overview of

the experiences of children living with same-sex parents. Evidently, the interview
conducted among the children and family members yielded significant and inter-
esting revelations that in turn shed light on their lived experiences.
3.1 Perception of Family Setup and with Parents
Children seem to have different views when asked to unveil their perception on
their family and parents who are of the same sex. Some of them described their
families as happy, headed by responsible parents, and typical. Despite the differ-
ence in family structure as compared to the traditional family (Corpus, Dela Cruz, &
Tabotabo, 2011), they still believed that their family is a source of happiness
though, sometimes, problems do occur within the family. This seems to agree with
the finding that children in families headed by lesbian mothers reported less feelings
of loneliness (Shechter, Schechter, Slone, & Lobel, 2011). The same-sex parents
appear to be responsible enough as they provide for the needs of the family. Aside
from the parents’ sexual orientation, participants believed that their families are just
like other families with heterosexual parents. This description of family was also
noted in another study in which children explained that their parents are just like
other heterosexual parents (Gregory & Ray, 2001). Also, one of the family mem-
bers believed that her daughter does not see the feminine side of her partner and all
family members do not treat her partner the way he really is. The limitations that the
parents set for their children, the time they spend with them, and the arguments that
persist in the family led the children to describe their families as a family with
authoritarian parents, family with busy parents, and a chaotic family. Their views
regarding their families such as ‘normal’ family and better family as compared with
the previous family appear to agree with the previous studies (Brown et al., 2006;
Burston et al., 2003). According to Burston et al. (2003), this comparison may be
attributed to the child’s negative idea about his previous family or heterosexual
family.
Further, positive and negative feelings emerged when asked to describe chil-
dren’s feelings about their current parents. In terms of positive feelings, some of the
children accepted their parents and got used to the family setup. One of them
proudly confides how loving her parents are. Looking at the negative feelings, it
was reported that some of the participants are still longing for the presence of the
real father. The relationships of their parents seem to not be totally approved by
some of them. One of the participants reported how sad and embarrassed she is
about her mother’s partner. This was also the observation of one family member on
her sister (Kim) and added that she wanted to fix everything in the family. The
participants’ sadness and embarrassment about their mothers’ partners are more
likely to agree with the study of Brown et al. (2006) where children (aged 13–16)
approaching the teenage years or the adolescence stage felt more awkward often as
they deal with their parents’ homosexuality. The participants’ various perceptions
regarding their family and parents may be associated with their real-life experi-
ences. Gilbert (2003) pointed out that the combination of three major factors,
namely personal experiences, family forms we encounter or observe, and attitudes
we hold contribute to one’s perception about family. Positive experiences are more
likely linked to positive feedback while negative feedbacks are basically rooted in
negative experiences. The people that children with same-sex parents dealt with
(Gregory & Ray, 2001) and the place they live in also served as contributing factors
in terms of their experiences that may further affect their perspectives in life
(Rawsthorne, 2009). Previous studies concluded that the positive relationship with
their parents (Darling, et al., as cited in Bos et al., 2012), social contact, frequency
of contact, functional roles of being cared for and being loved, the support and
respect they gain are imperative elements to have a more favorable adolescent
outcome (Brown et al., 2006). Since children’s parents in the study were all women,
it is interesting to know how children view and react to their family when parents
are both men. In the Philippine setting, it seems that same-sex male parents are
harder to locate and are limited in number. A family headed by both male parents
might reveal additional insights regarding their experiences particularly their par-
enting styles, coping mechanisms, and sharing of roles and responsibilities.
Likewise, children of this family type might also share something about their
experiences that may or may not be related to the foregoing factors. Moreover, only
one male child participated in the study. This participant revealed controversial and
interesting experiences as a member of a family with same-sex (both female)
parents. The findings of the current study would have been more prolific if addi-
tional male participants are included. It is highly recommended to conduct a
follow-up study where other influential factors may be present such as participants’
sexual orientation, age, and culture.
3.2 Relationship with Parents
The majority of the participants claimed that their parents are performing their roles
and responsibilities as parents. Despite the nature of family structure, family
members still established intimate relationship with one another as they understand
them and the family setup in general. Though strict discipline is evident to both
parents, children still believed that the couple tried their best to understand chil-
dren’s activities and development. However, one of the participants made a clear
distinction with regard to her relationship with her parents. It was revealed that the
biological mother tends to acknowledge her child’s perspective and ideas while her
partner appears to be close-minded with the child’s perspective. The family
members or significant others also revealed another set of insights when it comes to
the main participants’ relationship with their parents. According to them, children
158 L. R. Mendoza
put high regard to parents and find them as loving and caring. Interestingly, the
partners of the biological mothers seem to play the role of a real father as they hold
authority in the family and provide the needs of family members. As parents, their
authority has been acknowledged by the children which sometimes led to parenting
and relationship conflict probably because of parents’ strict discipline and being
close-minded with the children’s perspectives. The distinction between the bio-
logical mothers and their partners may be related to what Alampay and Jocson
(2011) have concluded regarding the difference between mothers’ and fathers’
parenting attributions and attitudes. Accordingly, Filipino mothers have acquired
more modern views in childrearing than fathers do. As the primary caregivers, the
mothers are more exposed to the modern childrearing information that might be
seen in the media, reading materials, and seminars conducted in the school or
community. With this, the mothers are more open-minded and more likely to
acknowledge their children’s ideas and perspectives similar to what the biological
mothers in the study have been doing. In addition, the foregoing findings might also
indicate that parent–child relationship, and not one’s sexual orientation, would
make one as a responsible parent (Regnerus, 2012; Patterson & Wainright, 2007;
Patterson, Russell, & Wainright, 2004). However, the conflict they experienced
within the family particularly toward the mother’s partner may be associated with
what Rawsthorne (2009) has noted. Accordingly, children from heterosexual family
may experience breakdown of relationship between them and the biological
mothers’ new partner. The transition from having heterosexual parents to same-sex
parents may bring about traumatic experiences and leave great impact on family
relationships (De Vaus & Gray, 2003 as cited in Rawsthorne, 2009). Parent-child
conflicts or misunderstandings are more likely to happen as individuals move into
and through the transition from childhood to adulthood. The said conflicts may be
due to adolescents’ abilities to rationalize things as well as their demands to be
treated as adults (Berk, 2001). Another possible explanation of the foregoing
experiences is the Ecological Systems Theory of Uri Bronfenbrenner (1994) which
further explains the importance of environment and the impact of family relation-
ships to one’s development. The innermost layer or the microsystem which includes
the family allows to influence a child in both direct and indirect ways. The
behaviors of the family members might affect those of others (Berk, 2001). Having
said that, children’s relationships with their parents mirror the way they were treated
by other people particularly their parents. In this regard, school guidance counselors
may conduct counseling sessions to check children’s current conditions and the
impact of this in different areas of their lives. If deemed necessary, parents should
be involved for the best interest of their children. A program that caters to indi-
viduals with this family setup might be established to serve as a support group
which could also be of help in attending to the needs of the children along with their
parents.
3.3 Challenges Encountered for Having Same-Sex Parents
Children’s various challenges in different aspects of life for having same-sex parents
such as challenges on the child’s social life, child’s biological father and his relatives,
parent-child relationship, current parents and family structure, personal values, and
parents’ inability to have children of their own were revealed. Some of the children
reported being teased by others primarily because of their parents’ sexual orientation.
Out of curiosity, other people threw many questions to the children and more likely put
them in a dilemma. These problems are really not that new in this kind of setup. In fact,
bullying or teasing and the difficult questions that need to be answered by the children
become the primary concerns of homosexual parents and the children themselves
(Gregory & Ray, 2001). In this family setup, the children are not only the ones who
encountered negative incidents such as discrimination (UNDP & USAID, 2014) but
also the parents themselves. In the Philippine setting, female homosexuals experi-
enced discrimination particularly in the workplace (Camesa, 1995). Considerably,
some of the participants, and as confirmed by other family members, look after their
real father. Children are more likely to look forward to the presence of the real father as
they attain awareness of the difference of their own family to others. Two of the
participants were restricted to get close to their real father and relatives. This
restriction might be attributed to their (mothers’ partners) fears of losing their children.
Since they also interact with other people, children cannot help but to compare their
own family with others to the point that they envied other children for having tradi-
tional families. Surprisingly, one participant was not able to hide her desire to have
younger siblings. But since parents are of the same sex, she is very much aware that
having younger siblings will be impossible. It is important to note how children find
ways to personally adjust to their family setup which sometimes led them to sacrifice
their own values. It seems that children need to give up their own interest for the sake
of their family. Filipino children are expected to observe their obligations to their
families whereby some Filipino values like utang na loob (debt of gratitude) and hiya
(shame) are incorporated (Alampay & Jocson, 2011). Furthermore, misunderstand-
ings occur within the family, and the children are affected with this. One of the
participants mentioned that she feels ashamed of her mother’s partner primarily
because of his behavior and treatment toward the family members. This misunder-
standing toward the parents is also evident in the previous research (Bos et al., 2012).
The conflict they experienced within the family particularly toward the mother’s
partner may be associated with what Rawsthorne (2009) has noted. Accordingly,
children from heterosexual family may experience breakdown of relationship
between them and the biological mothers’ new partner. The transition from having
heterosexual parents to same-sex parents may bring about traumatic experiences and
leave great impact on family relationships (De Vaus & Gray, 2003 as cited in
Rawsthorne, 2009). More so, the reported challenges of children from heterosexual
family and currently living with same-sex parents might contribute to the body of
knowledge since previous research failed to report this (Alderson & Boon, 2009).
160 L. R. Mendoza
3.4 Factors that Led to the Children’s Satisfaction

and Dissatisfaction Toward Current Parents
Another aspect in the lives of children with same-sex parents that calls for attention
are the factors associated with their satisfaction and/or dissatisfaction toward their
parents. The children themselves and the family members firmly believed that the
quality time for the family and being responsible parents are the primary factors of
the main participants’ satisfaction toward their parents. Some of them reported that
their parents never failed to exert an effort to understand the children and express
unconditional love and care. It is important to note that the biological mother’s
happiness made one of the participants satisfied with his parents. One participant
was brave enough to admit that he is gay. His parents’ acceptance of his identity
made him more satisfied with them. To be satisfied with the family, parents’ sexual
orientation does not really matter but rather their relationship with one another
(Regnerus, 2012; Patterson & Wainright, 2007; Patterson, Russell, & Wainright,
2004). Same-sex parents are said to be as competent, nurturing, and loving as their
heterosexual counterparts (Patterson, 2009 as cited in Pooley & Titlestad, 2014).
Previous researchers also pointed out how satisfied children in a same-sex parented
family as they are true with their roles and responsibilities as parents (Bos et al.,
2012). Parents’ equal sharing of responsibilities may also be a contributing factor in
becoming responsible parents (Alderson & Boon, 2009).
Further, it was reported that parents’ strict discipline, mother’s partner behavior,
limited knowledge about the child, and insensitive parents are the main factors why
children are dissatisfied with their current parents. Other reported factors are
divided time and attention toward the child, and irresponsible parents. On the other
hand, family members only identified two main factors that led to children’s dis-
satisfaction: limited knowledge about the real father and conflict in the family.
Basically, parents hold the authority in the family. However, this need to be
exercised with extra care as it might affect children in different ways. Failure to find
ways to know their children more might be one reason why children are not
satisfied with their parents at present. The Relationships Australia Queensland
(2011) emphasized the importance of parents’ role in securing love and care toward
their children. It was noted that parents must exert an extra effort like reading
parenting literature as it might be of help in understanding the development of their
children. Also, the way parents discipline their children must be considered most
especially in teaching them mabuting asal or positive social behavior. In the study
conducted by De Leon (2012), mabuting asal or positive social behavior includes
being (1) polite and respectful especially to adults, (2) obedient, (3) caring toward
their siblings, (4) helpful, and (5) generous. To teach and discipline children
regarding this, three types of methods were identified, namely physical, verbal, and
cognitive methods. Although parents are very much aware that the first one is
critical and must be used sparingly, it seems that physical method which includes
spanking has been part of the Filipino culture as parents tried their best to become
responsible. Many Filipino children of today experience physical punishment that
includes pinching and beating (Nakamura & Sanapo, 2011). Likewise, Filipino
parents opted to embrace authoritarian attitude in childrearing in which parents have
the authority in the family while their children should obey and conform to them
(Alampay & Jocson, 2011). These might be attributed to one parent in the present
study wherein she cannot help herself but to let her children experience corporal
punishment in the process of teaching and discipline them. As the head of the
family, the parents still have the final say as to what to do in the family even though
sometimes they are not sensitive enough to the feelings and perspectives of their
children. Steinberg (2001) pointed out that one possible reason of parent-child
conflict is the adolescents’ desire to be emotionally detached from parents as it is
needed in searching for their own identity. Further, it seems that one of the par-
ticipants is not satisfied with the information she got about her real father. Although
this is just an observation of the biological mother, this is something that needs to
be considered. Because of the complexity of the situation, the mother admitted that
she did not give complete information about the biological father as it might ignite
problems in the family. Since conflicts do arise within the family, the researcher of
this study firmly believes that it is high time to call for a conference or an activity
among parents to further discuss the nature and the developmental tasks of ado-
lescents. Through this, the reported concerns related to conflicts or misunder-
standing and lack of knowledge about children’s development will be addressed.
3.5 Advantages and Disadvantages of Living

with Same-Sex Parents
As another type of family, same-sex parented family has its own advantages and
disadvantages. Two distinct advantages of having same-sex parents were reported
by the family members and the children themselves: parent-child mutual under-
standing and responsible parents. In terms of the disadvantages of living with
same-sex parents, children and significant others identified a number of points.
Participants reported that parents’ inability to have children of their own, parent’s
strict discipline and divided time with mother’s partner are the primary disadvan-
tages of having parents who are of the same sex. On the other hand, family
members reported four (4) disadvantages: stigma from other people, parents’
conflict, non-traditional family structure, and mother’s partner misconduct.
Previous studies reiterated that what matters most in a family is the relationship of
each other and not the family structure itself (Regnerus, 2012; Patterson &
Wainright, 2007; Patterson, Russell, & Wainright, 2004). For those family members
whose relationship to parents are intact seem to be more satisfied than the ones who
did not actually establish good or healthy relationship with each family member.
This may be the reason why children in a same-sex parented family find their
situation beneficial and/or not beneficial. Also, the stigma that children are expe-
riencing because of family setup might contribute to their psychological being
162 L. R. Mendoza
(Balen & Bos, 2008) thus make them more vulnerable and realized the disadvan-
tage of a member of same-sex parented family.
3.6 Learning and Realizations in Being Children

of Same-Sex Parents
Finally, it is interesting to note the learning and realizations of children whose

parents are of the same sex. These learning and realizations are related to their
values, may it be personal or toward one’s family, how they regard individuals like
their parents, becoming assertive with one’s rights, and to not imitate parents’
relationship. As the primary carrier and transmitter of values (Palispis, 2005), the
family along with the parents inculcate different values that may be helpful in
children’s growth and development. It is interesting to note how children learned to
value their family despite its uniqueness in structure. Also, their parents’ values are
more likely contagious since children tend to adopt them and apply in daily living.
However, one of the participants is determined not to be like her parents and
learned to become assertive with her rights. Mother’s partner failure to establish a
good image and healthy relationship with the child might be one reason for having
this realization. Also, the negative experiences that the child had contributed to this
realization.
Acknowledgements This research would not be possible if it was not for the invaluable support,
insights and mentoring of Dr. Ruth M. Balajadia-Ducut, Leila Luz F. Caballa, Lorna M. Basmayor
and Michelin Anne M. Santos. I would like to extend my profuse thanks to University of the
Assumption, Angeles City National Trade School and Dr. Edna R. Calma, for giving me the
opportunity to conduct this research and the freedom to choose a topic to of extreme social
relevance to explore.
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Reflections on the Therapeutic Journey:
Uncovering the Layers
Divya Prasad, Anjali Gupta and Shabari Dutta
Abstract Personality disorders are present in approximately 9–14% of the general

population. These behaviors are pervasive and emit distress and agony in a wide
variety of life’s areas, thus taking a call for a well-formulated therapeutic paradigm.
Life carrying shades of interpersonal conflicts, impulsivity, heightened emotionality
with underlying maladaptive perceptions often acts as a medium of distress for not
only themselves but significant others as well. This in turn influences the thera-
peutic sessions with them. The present paper describes in detail the therapists’
journey with patients with personality disorders, as to how their unrealistic
demands, expectations, cognitive errors often color the therapeutic relationship. The
paper further moves to describe the barriers especially to mention the personality
characteristics, viz stubbornness, unwillingness to change, unrealistic expectation of
instant improvement, and difficulty to openness. It acts as a hindrance further
shifting the therapeutic goals, thus putting an abrupt end to the therapeutic journey.
Issues of counter-transference including difficulty in handling manipulative
behavior, therapists’ own emotional burnout, and inability to handle the covert
threats have also been mentioned. Thus, taking a cue from the barriers, urgent need
is required to formulate practical evidence-based therapeutic interventions for such
patients keeping in view the cultural settings.
Keywords Personality disorders Therapy Counter-transference
Personality disorder as pervasive and inflexible patterns of inner experience and

distorted perceptions accounts for approximately one-third of the patients pre-
senting in the mental health setting. Borderline personality disorder and antisocial
D. Prasad (&) A. Gupta S. Dutta

Nur Manzil Psychiatric Centre, Lalbagh, Lucknow 226001, India
e-mail: divyaprasadcp@gmail.com
A. Gupta
e-mail: njl.omer2012@gmail.com
S. Dutta
e-mail: shabari_dutta@yahoo.co.uk

https://doi.org/10.1007/978-981-10-8034-0_10
166 D. Prasad et al.
personality outnumber all other categories. Newspapers, digital and other forms of
media are flooded with incidences involving provocative behavior, intense anger
outbursts, deceit, blackmail, all discreetly hinting toward personality distortions.
These may have remained undiagnosed or passed off as major behavioral issue.
People meeting diagnostic criteria for personality traits present themselves at
mediation centers of family courts, reality shows on television, at criminal justice
systems, often making headlines for exhibition of extreme behavior, for instance,
altercation with a person of national importance and stalking leading media per-
sonality, forgery, coercive polygamous relationships, etc.
Characteristic features of PD usually emerge during adolescence or early
adulthood, tend to remain stable over time, and often lead to serious distress or
functional impairment for the individual. These behaviors are pervasive and cause
distress and impairment across a range of personal, social, and occupational situ-
ations or in other important areas of individual functioning. Sharan (2010) in his
review article found that the rates of personality disorder were higher in special
populations such as university students, criminals, patients with substance use
disorder, and patients who attempted suicide. Personality disorders when left
undetected can cause difficulty in initiation and maintenance of treatment. Because
the traits of PD tend to be stable over the time, these disorders have been considered
not consistent with treatment; however, many treatment modalities including CBT,
DBT, TFP, and medication are available. Intense anger outbursts, provoking
reactions in others, being aggressive and manipulative, and using their charms as
maneuvers for controlling others all act as hindrances to the therapeutic protocol.
They leave the therapist feeling helpless, frustrated, and irritable. Patient’s disor-
dered personality often builds barriers in the therapists’ mind, making interaction
difficulty prone. The barriers interestingly are unavoidable often playing hide and
seek, instilling fear, anxiety, and uncertainty of the outcome in the therapist.
Gunderson et al. (1989) evaluated reasons reported by patients who dropped out
from treatment in a specialist program for PD. Dropouts had a less satisfactory
therapeutic relationship; they felt more criticized by the staff, did not perceive that
they were given enough support by their family, and appeared less motivated from
the beginning of the treatment. Blount, King, and Menzies (2002) found that dif-
ficulties in changing dysfunctional coping mechanisms, external unfavorable cir-
cumstances like pressure from their family and problems with the staff as reasons
for dropouts.
The present paper attempts to highlight the experiences and conclusions derived
out of the journey with the patients with personality disorder reporting at our mental
health setting named Nur Manzil Psychiatric Centre. This hospital has been a
pioneer in mental health care since the 1950s, attracting patients from all corners of
the Indian subcontinent. We encountered sizeable number of patients with mal-
adaptive personality traits. Working with them using our preexisting therapeutic
skills not only afforded us with greater understanding of the dynamics but also
threw up with myriad of challenges. This work is an attempt to disseminate our
experiences and gain newer insights from peers to overcome the bottlenecks in the
therapeutic journey. The journey of obstacles is divided into four perspectives:
Reflections on the Therapeutic Journey: Uncovering … 167
therapists’ perspectives, patient reflection, caregiver/significant others, and dilemma

with considerable overlap within four areas.
1 Therapists’ Perspective
Many a time, personality disorders go undiagnosed or recognized as simple

behavioral problems in the primary health care services. They are more often
labeled as bipolar, schizoaffective, mixed anxiety depression, as these are more
amenable to pharmacotherapy or simpler psychosocial therapies. On the contrary,
professionals may become overwhelmed by the very name “PD,” thus fuelling the
lack of confidence to manage them. They may consider the treatment either
unapproachable or may even avoid the patient.
Another hindering perception toward effective management is the failure to take
a longitudinal perspective, thus paving way for a misdiagnosis.
Often, it has been observed that working with PD patients may turn out to be
emotionally taxing and exhaustive. Thompson, Ramos, and Willett (2014) sug-
gested that clients with APD present plausible arguments in order to convince
professionals there is nothing wrong with them and that they are victims of cir-
cumstances. Evans (2011) found that therapists often fall into the trap of trusting the
patient with ASPD and when they realize their manipulation; embarrassment,
shame, and frustration shroud their mind often making room for negative feelings.
These feeling states in turn determine poor treatment outcomes (NICE, 2010).
Low morale on the part of the therapists is experienced on account of the
minimal change observed in the patient’s behavior. Frustration emits and
burnout feeling follows. Another interesting barrier that has surfaced from our
experiences is the lack of openness, secrecy, and shades of manipulation. The early
formative years of patient have been colored by faulty attachment styles, thus
disabling the patient to open gates of information exposure (Norton, 1996).
2 Patient Reflection
One barrier toward effective management of PD is the personality itself. Typical

personality characteristics are in themselves a major block in the effective man-
agement of PD. Emotional dysregulation of borderlines, on one end to callousness
and stimulus seeking in antisocial personalities on the other, to intimacy problems
and restricted expressions in anxious avoidant and dependent personalities all create
difficulties not only in interpersonal but also in therapeutic relations. On frequent
occasions, in the backdrop of faulty attachment, personality-disordered patients
present with highly unrealistic expectation for the therapist. Either he or she would
be placed on the pedestal of highest authority having the magical powers to solve
all problems or be judged about their credentials. The patient would oscillate
between too good or too bad. In either circumstance, therapist experiences an

obstacle and if conveyed to the patient, mistrust ensues.
Defense mechanisms, a pivotal feature of personality disorder, act as roadblocks
in the therapeutic journey. Projection, denial, passive aggression, reaction forma-
tion, and dissociation to name a few make the smooth functioning of therapy
difficult, in turn shifting the therapeutic goals. The manipulativeness and
attention-seeking characteristics interfere and increase susceptibility in violating
boundaries in therapy. Patients often are seen as demanding, using conning and
seduction to gain therapists’ time and attention both. Subsequently, the formulated
goals take a backseat while such covert behaviors demand immediate attention for
proper handling.
Taking a cue from the sheer difficult childhood, non-congenial family setting,
insecure attachment, patients often conceal and deliberately withhold facts from the
professionals. The resultant confusion in case formulation leaves the therapist
perplexed.
Secrecy coupled with rigid cognitive styles promotes intolerance for novel or
alternative perspectives and viewpoints, thereby obstructing the road to recovery.
Emphatic reinforcement of self-reliance and autonomy in therapy invariably con-
verts trust into mistrust. In both AVD and BPD, rejection sensitivity threshold (a
tendency to expect others to evaluate the self in a negative light) results in outright
rejection of adaptive and realistic strategies (Bowles & Meyer, 2008; Adyuk et al.,
2008).
The very maladaptive aspects of personality, namely self-harm behavior, irra-
tional anger, dissociation, excessive substance use, and treatment refusal, tend to
induce tectonic shifts in the therapy. Intense fear of opening pages of one’s life
comprising of an abusive childhood, pain-fueled memories, failed relationships,
divorce/death of parents to name a few onto the therapist (who is perceived as a
threatening figure) is enough a barrier to seek continual help. The fear is primarily
based on the past experiences, and reliving it in the therapy sessions is often
misunderstood or perceived as intolerable by the patient leading to dropouts.
Levy, Meehan, Weber, Reynoso, and Clarkin (2005) suggested that individuals
with an avoidant attachment pattern may be at risk for dropping out of treatment
because they are not fully committed or attached with the therapist. They may
perceive that psychotherapy may emotionally unravel them. In contrast, individuals
with preoccupied attachment may drop out of treatment after perceived abandon-
ment such as emergency cancelations, scheduled vacations, and even waiting for
phone calls to be returned.
Mcaleavey, Castonguay, and Goldfried (2014) found 27.5% of patients reported
fear of being exposed and associated emotional reactions as perceived barriers to
treatment. Pessimism about therapy, for instance, taking cues from failures and
disappointments with past therapy, colors the notions of the present times. Many a
time, patient feels that his or her distress is not sufficiently understood or addressed.
Patients report no substantial improvement or change in their fears and cognition;
little do they realize that change lies in their hands. Lack of trust as identified by
Martens (2004) in the therapeutic relationship as a contributing factor to poor
Fig. 1 Diagram represents varying reasons for dropout from the therapy program
treatment outcomes especially in ASPD and maybe perpetuated by mutual distrust

between clinician and client. This barrier contributes to the stigma of client with
ASPD and increased therapeutic pessimism (Selkin, 2002). Thus, therapy which is
assumed to be an intimate, emotionally charged, especially a nurturing relationship
may get influenced by the transference factors. Bradley, Heim, and Westen (2005)
reported various dimensions of transference that are correlated with adult attachment
styles and PD clusters (Fig. 1) exhibits our observations during the therapy sessions.
3 Caregivers’ Perspective
Family has a major role to play in treatment in India. Strong bonding, empathy, and
trust are foundation stones for family ties. Thus, a close-knit family also serves an
important function toward the rehabilitation of the patient. Unrealistic expectation
toward psychotherapy lurks not only in the patient’s mind but also in the caregiver
as well. The thought of an “instant improvement” through a single session of
counseling is often encountered in the mental health settings, discounting the fact
that psychotherapy and counseling are a long-drawn process of unveiling and
resolving conflicts. On other occasions, the parents and caregivers tend to violate
the boundaries themselves by making frequent frantic calls for knowing the
recovery status. Their own personality makeup serves as a barrier. In cases of BPD,
the caregivers are themselves trapped in the FOG (fear, obligation, and guilt) cycle,
Fig. 2 Diagram represents the cycle of events from faulty cohesion in therapy
getting overwhelmed about the slow progress in patient’s behavior toward

improvement (Fig. 2).
Probing questions about the patient’s conflicts, inner thought, state of mind by
the caregiver also compels the therapist to enter a state of dilemma to divulge the
information or not. On the one end, divulging would mean breach of trust while on
the other end, a necessary step to corroborate the facts. Dilemma in the form of
what and how much to share still prevails.
We have also observed that parents/guardians’ own interaction and communi-
cation styles with each other, conflicts, cognitive errors, pattern of anger expres-
sions, and coping styles also influence the therapy session. Resorting to
criticism-laden detailing of problems adds more mistrust to the already shaky
therapy ties.
4 “Other” Dilemma
Apart from the above-mentioned pitfalls and barriers, there is yet another set of
factors that cast a shadow of doubt on the treatment outcome. Paucity of trained
professionals in the vicinity of patient’s residential setting serves as major setback.
Geographical distance and non-availability of adequate transportation facility to
therapy center come in the way of timely scheduling of appointment. Coupled with
financial constraints, these factors not only add to the emotional burden of the
personality-disordered patients and their caregivers but also pose as an impediment
in gauging of appropriate and timely therapeutic progress.
5 Conclusion
Varying reflections emerge through our therapeutic journey. Firstly, either per-
sonality disorder appears masked or camouflaged by other symptoms and that
personality traits get overlooked, leading to partial recovery.
Secondly, free association facilitates better understanding of the conflicts not
only in the context of the various chapters of the patient’s life but also toward
long-term resolution of the same.
Thirdly, it is pivotal to psychoeducate both the patient and caregiver about the
defenses for maintenance of trusting therapeutic relationship. Need for openness not
only clears clouds of doubt but also paves way for better recovery.
Last but not least, the therapist needs to engage in periodic reality check of his/
her own problem-solving skills in order to strategically deal with this emotionally
volatile population.
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Self-Talk and Autonomy
on Well-Structured Problem-Solving
Yuen Hung Katie Lam and Ruth De-Hui Zhou
Abstract This study is to investigate how autonomy and different pronominal

person self-talk may affect people’s performance of well-structured problems.
A total of 111 (69 females and 42 males) young adults were randomly assigned to
different groups of the 2 (autonomy-supportive vs. non-autonomy) 3 (I self-talk,
You self-talk, control group) experiment. In this study, we recorded the task
accuracy, subjective interest, and intention (9-point Likert scale) toward the
task-switching paradigm. Statistical results showed that participants turn to perform
better in terms of accuracy in the You self-talk group than in the I self-talk group
and control group. Inconsistent with previous findings, we also found that
non-autonomy group showed statistically significant more interests in doing the
task than the autonomy-supportive group. Related updated studies and the sensi-
tivity to the hierarchical order in Chinese culture were used to explore the inter-
esting findings and discuss the implications.
Keywords Autonomy You self-talk I self-talk Intention Problem-solving
1 Literature Review
The way people talk to themselves will have an unimaginable impact that affects
problem-solving performance. For instance, people talk to themselves starting by
using the first-person pronoun (I). Occasionally, they also talk to themselves as if
they were talking to someone else starting by using second-person pronoun (YOU).
Y. H. K. Lam (&) R. D.-H. Zhou

Department of Counselling of Psychology, Shue Yan University,
Braemar Hill, North Point, Hong Kong
e-mail: katielam021@yahoo.com.hk
URL: http://www.hksyu.edu
R. D.-H. Zhou
e-mail: dhzhou@hksyu.edu

https://doi.org/10.1007/978-981-10-8034-0_11
174 Y. H. K. Lam and R. D.-H. Zhou
Sometimes, they may talk to themselves without using any pronoun. This type of
communication is called self-talk. Self-talk has several functions, and different
formats of self-talk will have a correlated different effect on problem-solving per-
formance. Hence, the types of self-talk’s functions, self-talk-related empirical
studies, as well as the influence of autonomy on problem-solving, are going to be
illustrated in further detail below.
1.1 Self-Talk and Communication
Self-talk is inescapable and fundamental in daily life. Apart from self-motivational

and instructional uses, one of the common usages is in self-organizing which helps
self-performance (Hatzigeorgiadis, 2006; Hatzigeorgiadis, Zourbanos, Goltsios, &
Theodorakis, 2008). Previous research found that more than 96% of people report
having an ongoing inner dialogue, particularly covert in daily activity (Dolcos &
Albarracin, 2014). For example, when people are reading this essay, calculating
money, memorizing vocabulary, preparing for a public speech, or reminding the
steps are all typical examples of using self-talk in daily life. That is to say, almost
everyone has experienced self-talk and it is part of our life in which taken variety of
forms to helping oneself handle different situations.
Self-talk in Piaget’s perspective. Piaget’s perspective tends to view self-talk as
an indicator to indicate whether the children have the ability to distinguish sub-
jective and objective. Piaget was the earliest cognitive developmental psychologist
who described self-talk phenomenon as egocentric, which indicates children’s
inability to take the perspective of another person. He also proposed that self-talk is
persisted throughout our lifetime. However, as time goes on, children gradually
become able to consider others’ perspectives and such inner speech declines and
gradually replaced by socialized speech to communicate with other (Bivens & Berk,
1990). That is to say, although self-talk will gradually decline and replace by
socialized speech throughout our lifetime, self-talk still exists in adults.
Self-talk in Vygotsky perspective. Another developmental psychologist Lev
Vygotsky viewed self-talk as a helping role rather than an indicator. He observed
children often take action accompany with narrating their actions out loud in which
maybe no sound is made but the mouths keep moves. Therefore, he stated that
self-talk can help self-regulation of cognitive and behavior as well as a transitional
stage in the process of internalization (Alderson-Day & Fernyhough, 2015).
According to Lev Vygotsky, speech can be mainly treated and used in two
functions which are used to communicate with others and used as communicating
with the self. The function of self-talk is act as a self-monitoring system. People
who speak out their thought loud when thinking, planning, directing and controlling
behavior is an externalized self-monitoring system. Once people successfully
control behavior under their self-directed verbal, overt self-talk diminishes, and
turning into inner speech or verbal thought (Bivens & Berk, 1990).
Self-Talk and Autonomy on Well-Structured Problem-Solving 175
1.2 Problem-Solving
Executive function includes planning, decision making, goal selecting,

self-monitoring, self-evaluating, problem-solving, initiation, and self-awareness
(Zoltan, 1996). Therefore, problem-solving can be viewed as one of the elements of
executive function in which helps people self-regulating and control functions that
direct and put in order of behavior. That is problem-solving can be defined as the
application of skills, ideas, factual information, or related cognitive reasoning to
achieve the solution to a problem or to reach a aimed performance. According to
education psychologist, the problem can be divided into two types. One is called
well-defined problem which involves a clear goal, instruction, solution strategy, and
outcome is clear. On the other hand, poorly defined problem is involved unclear and
confusing outcome, and unclear problem-solving strategy (Mubenwafor, 2015).
Meanwhile, education psychologist further breakdowns the problem into another
two different types including routine problem, which is a typical and simple
question, and non-routine problem, which is more abstract and subjective reasoning
to solve (Mubenwafor, 2015).
Problem-solving is a cognitive process that consists of four parts. First,
problem-solving occurs in the problem solver’s cognitive system and can only be
presumed by problem solver’s behavior. Second, problem-solving is a cognitive
process which is represented in the problem solver’s cognitive system. Third,
problem-solving is directed that guided problem solver’s goal. Fourth,
problem-solving performance is individual which depends on the personal
knowledge and skill (Mayer & Wittrock, 2009).
1.3 Self-Talk and Problem-Solving
There are different types of self-talk, including positive and negative thoughts of
self-talk, and several self-talk-related empirical studies in college students and
adulthood are going to be illustrated in more detail below.
Positive and negative thoughts of self-talk. Inner speech involves a mixture of
negative, positive, and neutral thoughts. The types and the ways of language people
choose to use when they talk to themselves has a big effect on self-value, energy
level, outlook, relationship with others and performance (Alicia, 2015; Dagrou,
Gauvin, & Halliwell, 1992; Judith, nd). There, a research found that 75% of our
mental language is negative (as cited in Alicia, 2015), and those negative thoughts
that people contain in their minds are anxiety and negative which are a reiteration of
past event (Kamen, 2015). It is because attitude, feelings, and behavior are inter-
related; once you keep on a negative viewpoint on circumstances, then your
behaviors are going to act them out. This phenomenon is called a self-fulfilling
prophecy.
No matter self-talk is in negative or positive thought, both types can help

self-regulation. Self-talk in negative thought is dominated in most of our life and
which can harm our mental health even leading to anxiety, stress, and depression
(Alicia, 2015; Kamen, 2015). On the other hand, if people keep on using healthy,
productive, and positive self-talk in daily life, self-regulation in cognitive and
behavior will be improved. It is because the attention will be increased, verbal
encoding will be strengthened, and planning ability will be bettered (Alderson-Day
& Fernyhough, 2015; Bivens & Berk, 1990; Dolcos & Albarracin, 2014; Tod,
Hardy, & Oliver, 2011).
Self-talk-related empirical studies. Study on self-talk function in adulthood has
largely focused on the effect of verbal short-term memory and executive function
(Alicia, 2015; Dagrou et al., 1992; Dolcos & Albarracin, 2014; Judith, nd;
Puchalska‐Wasyl, 2014; Senay, Albarracín, & Noguchi, 2010). Research showed
that adult use self-talk as a rehearsal tool in which verbal rehearsal can help to
refresh the memory and lead to a better recall (Baddeley, 1992).
Also, most of the research has focused on cognitive flexibility through switching
task and planning through tower task in regarding of executive function (Baddeley,
Chincotta, & Adlam, 2001; Gilhooly, Wynn, Phillips, Logie, & Della Sala, 2002;
Kraemer, Macrae, Green, & Kelley, 2005). Research suggested that self-talk has a
beneficial effect on switching performance as the use of self-talk can help to prepare
and transition between trials, but the effect only limited in the lack of explicit cues
(Kraemer et al., 2005). For planning, there is less study supporting that self-talk
takes a central role in adult task performance (Alderson-Day & Fernyhough, 2015).
The tower performance is closely related to visuospatial rather than self-talk skill
(Gilhooly et al., 2002). Tower task can initiate self-talk but largely require visual
imagination within the visuospatial domain.
A meta-analysis study conducted by Hatzigeorgiadis et al. (2011) reported three
types of self-talk, which have been mostly studied. They are instruction versus
motivational self-talk cues, assigned versus self-selected, and internal/silent versus
external/out loud (as cited in Puchalska‐Wasyl, 2014).
Other factors including the types of self-talk and mediators that affect perfor-
mance have been studied including interrogative versus declarative self-talk
(Puchalska‐Wasyl, 2014; Senay et al., 2010). Research from Puchalska‐Wasyl
(2014) suggests that interrogative self-talk creates better performance than declar-
ative self-talk, especially when a self-posed question about future behavior was
answered in positive condition. It is because question about future may induce a
sense of autonomous or thought about intrinsically motivated reasons in which
helps to pursue a goal, leading a person to form intention and finally to perform the
behavior out (Puchalska‐Wasyl, 2014).
The previous study also compares observed overt inner speech versus observed
covert inner speech versus reported inner speech in different age groups (5–17)
(Winsler & Naglieri, 2003). Overall, the research found that older children (16–
17 years old) are more aware of their inner voice than younger children in terms of
both observed covert inner speech and reported inner speech. At the same time,
over self-talk is common among 5-year-olds and used lesser as children get older.
Also, a clear inverted U shape indicated that children in 9-year-olds are a peak in
using partly covert but still observable self-talk. Research also found that there is no
relation between verbal strategy be used and task performance, but they are posi-
tively associated with cover self-talk and performance (Winsler & Naglieri, 2003).
The previous studies also investigate self-talk in controlling or
autonomy-supportive experimental condition (Oliver, Markland, Hardy, &
Petherick, 2008). The result indicated that participants in an autonomy-supportive
experimental condition are willing to spend more time on the task and reported
significantly higher interest and lower tension than controlling condition.
Participants in autonomy condition use more informative and less controlling
self-talk. This study suggests that the type of social context does influence cognitive
factors such as self-talk (Oliver et al., 2008).
Meanwhile, first-person self-talk versus second-person self-talk is being inves-
tigated (Dolcos & Albarracin, 2014). Result showed that second-person self-talk
increased actual behavior performance and intention than using the first-person
self-talk in which the effect was mediated by the participants’ attitude toward the
task. Also, research proposed that positive emotion and attitude would be triggered
by second-person self-talk, and influence performance and intention (Dolcos &
Albarracin, 2014).
A systematic review in 2011 about the relationship between self-talk and per-
formance found that three types of self-talk including positive, instructional, and
motivational self-talk had a beneficial effect on performance (Tod et al., 2011).
Self-talk with two pronominal persons. Research reported that second-person
self-talk enhances actual behavior performance and intention to work than using the
first person in which the effectiveness was mediated by participants’ attitude toward
the task (Dolcos & Albarracin, 2014). Research reported that positive appraisals
from both self and significant others using second-person instruction and encour-
agements could have a strong influence on emotion, cognition, and performance
(Alter et al., 2010). This can be explained by habituation and internalization. That is
a repetition of a behavior in a consistent context reinforces a mental behavior
association (Lally et al., 2010), and initial external encouragements may become
internalized and develop to self-encouragements. Meanwhile, Smith and Lazarus
(1993) found that second-person self-talk increased positive emotion and attitude
and as a result influenced intention and performance. That is to say, second-person
self-talk and positive attitude are interrelated to increase performance.
1.4 Purpose of This Study
Previous research revealed that tasks involve choice are more enjoyable because the
availability of choice will induce a feeling of success and confidence (Henry &
Sniezek, 1993). Also, research supported that given choice produced dramatic
increases in motivation and the depth of engagement in activity and lead to improve
task performance as a result (Cordova & Lepper, 1996).
There is research replicated the autonomy on the administration field and found
that there is a significant positive effect on the performance when given autonomy
(Grünhagen, Wollan, Dada, & Watson, 2014). This is through inducing autonomy
to the worker under human resource department to investigate the influence of such
operational autonomy on the entrepreneurial orientation performance (Grünhagen
et al., 2014). Research found that there is a significant positive effect on the
entrepreneurial orientation performance under UK franchise systems.
The most extensive literature on self-talk is applying in sport and exercise
psychology in Chinese context. Research has determined that self-talk is an
effective strategy for helping to learn and enhance performance (Chroni, Perkos, &
Theodorakis, 2007; Defrancesco & Burke; 1997; Kirkby, 1991; Wang, Huddleston,
& Peng, 2003; Williams & Leffingwell, 1996). Also, research found that one of the
top three skills used by the Chinese swimmers was positive self-talk (Wang et al.,
2003). This result is consistent with the previous study that US and European
athletes also have a high use of self-talk when facing competition (Defrancesco &
Burke, 1997; Kirkby, 1991).
Despite the abundant study in self-talk, we are motivated by the following
reasons to conduct this study.
First, few empirical studies support the significant performance effect of using
second-person self-talk. Previous research found that people tend to favor using
“You” self-talk in situation that requires explicit self-regulation and favor using “I”
self-talk in situation that shares their feeling (Gammage, Hardy, & Hall, 2001;
Oliver et al., 2008; Zell, Warriner, & Albarracin, 2012). However, only one
empirical study that explores the performance effects of self-talk using the
second-person pronoun in American adulthood age range (Dolcos & Albarracin,
2014).
Second, most researches are conducted in Western culture. It would be inter-
esting to investigate the performance effect of using second-person self-talk under
Chinese context. It is because the result of investigations performed with a student
of one culture certainly cannot be generalized across cultures such as Hong Kong or
Chinese context.
Third, the performance effects of self-talk using the second-person pronoun plus
availability of autonomy condition have surprisingly never been demonstrated.
Previous research found that second-person self-talk strengthens both performance
and intentions, and these effects are mediated by positive attitudes (Dolcos &
Albarracin, 2014). Another research showed that participant in autonomy experi-
mental condition enhances the enjoyment of the task in which reflected in the
greater use of positive emotion words than in controlling condition (Oliver et al.,
2008). That is to say, given autonomy can induce positive attitudes. However, the
influence of autonomy on the performance effects of self-talk using the two
pronominal person’s self-talk has never been demonstrated.
Research question. Combined with the above research finding that using You
self-talk produces better performance and intention, these results are mediated by
the positive attitude in young adult age group (Dolcos & Albarracin, 2014), as well
as the influence of autonomy on performance (Oliver et al., 2008). Hence, this
research attempted to investigate the influence of autonomy on the two pronominal

person’s self-talk on a completely different task, which is a switching task. In
addition, can people’s intention and performance for an upcoming activity be
enhanced by giving freedom and using second-person self-talk?
Hypothesis There are altogether five hypotheses in this study:
Hypothesis 1: Participants will perform better on the second-person self-talk group
than on the first-person self-talk group.
Hypothesis 2: Participants will increase intention for an upcoming activity on the
second-person self-talk group than on the first-person self-talk group.
Hypothesis 3: Participants will perform better on autonomy group than on no
autonomy group.
Hypothesis 4: Participants will increase intention for an upcoming activity on the
autonomy group than on no autonomy group.
Hypothesis 5: There has interaction effect between first- and second- person
self-talk and autonomy.
2 Method
This study was a 3 (pronominal person’s self-talk) 2 (autonomy) between-

subject factorial design experiments. The pronominal person’s self-talk with three
levels (You, I, and no pronominal) and autonomy with two levels (multiple per-
ceived choice and no perceived choice) were the two independent variables in this
experiment. There were four dependent variables including task accuracy, the
reaction time of switching task time cost (ms), subjective interest and intention
(9-point Likert scale) toward the task.
2.1 Participants
A total of 111 (69 females and 42 males) local college student took part in the study.
Their age were between 18 and 25 years old (mean = 20.76, SD = 1.759). All par-
ticipants were randomly assigned to one of the six conditions in which lasted
approximately 20–25 min. Thirty participants were eliminated for various reasons.
Fifteen participants were excluded due to the changing of modified experimental
design in priming task. Four participants were excluded as whose reported subjective
interested feeling toward the task was more than two standard deviation above or
below the group mean. Ten participants were excluded as they did not clearly read and
understood all the instruction in switching task; as a result, they need to be verbally
taught by experimenter and repeat measure performance immediately. Hence, there a
total of 81 participants (53 females and 28 males) whose age are between 18 and
25 years old (mean = 20.68, SD = 1.772), and they were treated as a valid data and
used in further analyses.
2.2 Materials
The experiment included two priming tasks: one autonomy manipulation, and two
measurements.
Priming task. A situational problem-solving task was provided as one of the
priming tasks. This task involved corresponding pronoun’s instruction accompany
with sound recording. Participants were required to tidy up a messy desk (see the
left picture in Fig. 1) into a tidy desk (see the right picture in Fig. 1).
The situational problem-solving task has three versions in which using the
related pronoun and assigned scenario. In “You” self-talk group, participants were
instructed to imagine that they needed to teach young children to tidy up the desk
because the children did not know how to finish it in a clear way. They needed to
write down the steps that prepared to teach the children in a limited time and must
use second-person pronoun in the sentence. All of the instructions in this situation
were used second-person pronoun as well. In “I” self-talk group, however, par-
ticipants were instructed to imagine that the messy desk belonged to himself/
herself. They were responsible for tidy up the desk as similar as the nearby clear
table that being presented as possible. They needed to write down the steps that they
needed to tidy up. All of the instruction in this situation used first-person pronoun
as well. In no pronominal person self-talk group, however, participants were
instructed to imagine that the messy desk belonged to someone. Participants are
invited to suggest a series of instruction for someone who can follow in order to
tidy up the desk as similar as the nearby clear table that being presented as possible.
Participants were required to write down the steps that they prepared to tidy up. All
of the instruction did not mention specific requirement concerning person pronouns
to be used.
Second, a set of switching task instruction presented in correlated person pro-
noun were another priming task. This was a set of instruction which used to teach
the participant about how to play the following switching game. All of the above
Fig. 1 Desk tidying-up task

Fig. 2 Instruction of switching game in “You” self-talk with autonomy-supportive group
instructions were provided in Chinese version with the corresponding pronoun, and
the participants were instructed to read the guideline in mind (Fig. 2).
Most of the switching task’s instructions were identical in each pronominal
person self-talk and autonomy condition. The only difference was the use of a
pronoun (using You, I and no pronoun in the correlated group), and the use of
“Please 請” will appear in the autonomy group.
Autonomy-supportive group. In order to manipulate choice for
autonomy-supportive group, experimenter provided the participants a set of the task
numbers for them to choose. The two sets of envelopes, which already marked 1, 2,
and 3 in the cover, will be presented for participants to choose for inducing a sense
of autonomy. Those envelopes were already put a randomly assigned pronoun and
situational card inside for the participant to choose the corresponding pronoun and
situation which will be used in the following task (Fig. 3).
The first set of the letter including three envelopes which hidden represents You,
I, and no pronoun, respectively. The second set of the envelopes including two
envelopes which hidden represents the type of situation. The participants would
take for granted that they had a control what type of tasks that they would be given
next. In fact, it was the experimenter who actually control which self-talk group
would be assigned to in order to balance the identical numbers of participants in
each group.
Fig. 3 Envelopes to provide choices for autonomy-supportive group

Fig. 4 Mutiple choices to be selected by the autonomy-supportive group
Second, the use of voice tone and instruction in autonomy-supportive group

were different from no autonomy-supportive group. That is the strict tone will be
applied in no choice group and polite voice tone will be applied in given choice
group with the corresponding pronoun. Compared to polite voice tone, the strict
tone will like ordering others to finish the task, and no “請” and “多謝你願意”
appear. Most of the trials’ instruction and situational problem-solving instruction
are same in each pronominal person self-talk and autonomy condition. However,
the differences are the use of a pronoun (using You, I and no pronoun in the
correlated group), and the use of “Please 請” will appear in the autonomy group.
Third, different colors and types of pen were provided in each condition in order
to induce a sense of autonomy. Detailed information is shown in Fig. 4.
Fourth, free to choose when they would like to stop in the priming task. That is
participants in the autonomy-supportive group still keep writing the instruction or
just skip it and moving to next task after the limited time.
Measures. First, a set of task-switching paradigms were used to measure the
participant’s performance of task accuracy, reaction time (ms), and switching time
cost (ms). Task-switching paradigm is a program which can be downloaded from
the Psy Toolkit website to be used for a research purpose. Switching task requires
participants to switch frequently among a small set of simple task. In this experi-
ment, letter and number combination will be adopted to compare the respond time
of switching time cost, and task accuracy of participant doing one task at the time
and participant doing two tasks in rapid alternation. During the experiment, par-
ticipants needed to respond to button presses to number and letter combinations.
Participants only needed two keys (B and N). Participants needed to distinguish
whether the combination (such as G6) appeared at the top or bottom of the screen
first. If the combination appeared at the top of the screen, they only needed to
respond to the letter. In this example is G. Then they needed to distinguish whether
the letter is belong to consonant type (such as G, K, M, R) or vowel type (A, E, I,
U). If the letter is belong to a consonant type, they needed to press B in respond; if
Fig. 5 Task combination

provided by task-switching
paradigm program
the letter belongs to vowel type, they needed to press N in respond. However, if the
combination (such K3) appeared at the bottom of the screen, they needed to respond
to the number. In this example is 3. Then they need to distinguish whether the
number belongs to an odd number or even number. If the number belongs to an odd
number, they needed to press B in respond; if the number belongs to an even
number, they needed to press N in respond. There were several rounds including a
round just for the letter part (40 combinations in total), a round just for the number
task (40 combinations in total), and a round of number and letter task (40 com-
binations in total). At the end of the tasks, participants would receive feedback
about their respond time when they were just one task at the time (“pure blocks”),
and switching time cost when they were doing two tasks mixed. Also, task accuracy
will be recorded by experimenter separately (Fig. 5).
At the end of the task, respond time will be displayed in the screen and task
accuracy will be collected by experimenter separately.
Second, an intention Likert scales for measure subjective interest and intention
toward the task. Participant only needed to circle the suitable number which rep-
resented their subjective attitude toward the switching task.
2.3 Procedures
Informed consent was given to all participants so as to getting permission before

starting the experiment. They were randomly assigned to either perceived choice
(autonomy-supportive group) or no perceived choice (no autonomy not supportive
group) condition. According to the correlated condition’s instruction, participant
mainly needed to provide a serious of step advices and carefully read instruction
which introduced switching task in correlated pronoun. Meanwhile, there were
multiple choices to be selected and supportive attitude would be induced within the
autonomy-supportive group. Either You, I, or no pronominal self- talk group would
Fig. 6 Experiment procedures
be randomly assigned. Then participants finished intention Likert scale and played
switching game. For more detail information, please refer to the below flowchart.
During the experiment, environmental factors such as low voice level and inde-
pendent environment would be controlled. Also, the implementation and instruction
would be kept consistent in each experimental group by playing recording to
instruct participant (Fig. 6).
2.4 Data Analyses
SPSS 16.0 was used to analyze the result. One-way ANOVA was conducted to
evaluate the mean difference between the three groups of pronominal self-talk
which are You, I and no pronominal and the mean difference between the two
groups of autonomy on task performance as well as the interaction effect among
independent variables. Also, Tukey’s post hoc procedure was conducted in order to
determine which independent group did vary from other independent groups.
3 Result
As listed in Table 1, the one-way ANOVA did not show main significant difference
which was found among pronominal self-talk and autonomy (F(2,75) = 0.222;
p > 0.05).
The estimated pairwise comparison analysis revealed that there was a tendency
of statistically significant differences between You and no pronominal self-talk
(mean difference = 1.646; p < 0.05). However, there was no statistically significant
difference tendency in mean task accuracy between You and I self-talk (mean
difference = 0.527; p > 0.05) (Fig. 7).
Second, subjective interested feeling toward upcoming task being increased
under no autonomy condition. An independent-sample t test comparing the mean
scores of subjective interested feeling toward the following task under autonomy
and no autonomy condition found a significant difference. There was a significant
difference in the mean scores for autonomy (M = 5.79, SD = 1.423) and no
autonomy (M = 6.44, SD = 1.483) conditions; t(79) = 2.013, p = 0.048 < 0.05.
According to Cohen’s formula, the effect size is 0.41 which is belong to small
(Fig. 8; Table 2).
4 Discussion
Our research shows that You self-talk type turns to be more efficient than I self-talk
type in terms of task accuracy. Very unexpectedly, the subjective interesting feeling
increased under no autonomy condition more than autonomy condition.
The first finding indicated that You self-talk yielded better task accuracy per-
formance. The estimated pairwise comparison analysis revealed that there were
statistically significant differences between You and no pronominal self-talk (mean
difference = 1.646; p = 0.033 < 0.05). It is half consistent with previous finding
that using second-person self-talk in an unrelated domain increased anagram per-
formance (Dolcos & Albarracin, 2014). It is half consistent as previous finding only
compares using You self-talk and I self-talk but does not include no pronoun
self-talk. As a result, that experiment only concluded that participants using You
produces better performance than self-talk using I. Current study revealed that there
were statistically significant differences in estimated tendency that task accuracy is
between You and no pronominal self-talk. Also, the tendency revealed that You
yielded better accuracy performance than I self-talk and No pronoun self-talk
(tendency: You > I > No). Hence, it is still consistent with previous finding that
using second-person perspective can increase self-regulation and better improve
performance as a result (Dolcos & Albarracin, 2014; Kross et al., 2014).
The use of You better facilitates self-regulation which may be due to two rea-
sons. First, people tend to model others’ language usage in self-talk (Lantolf, 2006).
From a sociogenetic perspective, it suggested that socialization is the beginning
point which process meanings in the interpersonal dialogue and interaction, as time
gone by, such dialogue and interaction pattern become personalized and internal-
ized into self-regulation pattern (Clowes, 2007; Vygotsky, 1987). For example, care
giver or significant other tends to using You in directing and encouraging other
people (e.g., You need to listen carefully 你要留心D聆聽!, you can do it 你一定做
到架!). In time, people become used to responding to instruction provided in the
186
Table 1 Task performance under different types of self-talk and autonomy condition
You I No pronominal F value P value Autonomy No autonomy not F value P value
supportive supportive
M SD M SD M SD M SD M SD
Task 38.593 0.537 38.067 0.54 36.948 0.537 2.45 0.093 37.748 0.431 37.991 0.447 0.153 0.697
accuracy
Interest 6.385 0.282 5.792 0.284 6.132 0.282 1.107 0.336 5.786 0.226 6.419 0.235 3.764 0.056
Intention 6.67 0.294 6.35 0.294 6.626 0.293 0.349 0.706 6.437 0.235 6.661 0.244 0.44 0.509
Time cost 528.747 70.298 484.867 70.687 375.25 70.298 1.264 0.288 423.324 56.421 502.585 58.567 0.95 0.333
M Mean, SD Standard deviation error
Y. H. K. Lam and R. D.-H. Zhou
Fig. 7 Means of switching task accuracy
Fig. 8 Means of subjective interested feeling toward upcoming task
Table 2 Autonomy condition

Autonomy No autonomy not t test P value
supportive supportive
M SD M SD
Task accuracy 37.79 2.816 37.97 2.805 0.302 0.764
Interest 5.79 1.423 6.44 1.483 2.019 0.048*
Intention 6.43 1.417 6.67 1.562 0.719 0.474
Time cost 423.12 313.188 496.74 414.252 0.906 0.368
M Mean, SD Standard deviation, *p < 0.05 statistically significant
second-person pronoun. Such internalization perspective is consistent with the habit

theory and research finding (Gardner, de Bruijinn, & Lally, 2011). That is the initial
external guidance associated with repeated behavioral respond which have been
internalized in the second person. As a result, people will automatically activate that
dialogue under similar situation so as to better self-direction and perform better
performance.
Second, using self-person pronoun can adopt a broader perspective and gain a
positive psychological feeling in social support. It is because using You self-talk is
similar to talking to another person which may create a sort of social support
without directly interaction with others. This is likely to create a motivating envi-
ronment which enables oneself to produce encouragements (Jin, 2005, 2010). As a
result, it is positively helping oneself self-regulation and produce better
performance.
The second finding indicated that subjective interested feeling increase under no
autonomy condition. This is inconsistent with previous findings. Previous research
revealed that tasks involving choice are more enjoyable because the availability of
choice will induce a feeling of success and confidence (Henry & Sniezek, 1993).
Also, research supported that given choice produced dramatic increases in moti-
vation and the depth of engagement in activity and lead to improve task perfor-
mance as a result (Cordova & Lepper, 1996). However, current result indicated that
subjective interested feeling toward upcoming task being increased under no
autonomy condition. An independent-sample t test revealed that there was a sig-
nificant difference in the mean scores for autonomy (M = 5.79, SD = 1.423) and no
autonomy (M = 6.44, SD = 1.483) conditions; t(79) = 2.013, p < 0.05. It is
interesting to conclude this contradicted result. This could be caused by cultural
differences.
Previous literature has indicated that Chinese people have a high degree of
authoritarian personality (Hwang, 2012). Under Chinese authoritarian orientation,
people tend to respecting and obeying those with high status (authority) are highly
valued and emphasized in Chinese context. It speculated that when joining the
experiment, participant unconsciously take a subordinated role who used to listen to
the experimenter’s (high status, authority figure) instruction. That is they are
expecting participant must follow all procedures and step by step once they agree to
join the experiment. Such habituation and expectation on participated in an
experiment may affect their psychological condition when doing the task when
under autonomy condition which contradiction to their usual expectation. When
providing too much multiple selections to participant, they may feel lack of
direction and out of their usual habituation, which may make them confused and
worry about the consequence of their choice. As a result, it affects their subjective
feeling toward the task.
5 Implication
According to previous research, they suggested that people prefer You self-talk
when task involving action and in difficult situations requiring self-regulation
(Gammage et al., 2001; Zell et al., 2012). For example, when involved in some
fitness activities, peoples tend to take “You” perspective more frequently than I
perspective. Meanwhile, current study also supports this finding that You self-talk
yielded better task accuracy performance. Therefore, it suggests that it would be
better to use You self-talk than no pronoun self-talk when engaging in action and in
difficult situations requiring self-regulation. For example, leader can try to adopt
You-pronoun when deliver instructions (such as educating some breathing exercise)
and encouraging statement in both psycho-education group and counseling session.
It is because the use of You can induce a sense of broader perspective and gain a
positive psychological feeling in social support when they internalized those
instructions. Most importantly, using You statement and self-talk can result in
several benefits which all supported by previous studies. Those benefit including
self-regulation increased and more optimistic-oriented evaluation which have
strong effect on affection, cognitive, and behavior performance (Kross et al., 2014).
Future work should examine the ways and strategy in using You self-talk for
improving self-regulation, which are likely to be important for education, mental
health management and work performance.
6 Limitations and Future Studies
This study has the following limitations. First, this study consists of small sample
size. Each experimental group only contains 12–15 participants. ANOVA analyzed
that result may being affected due to small sample size. Second, some environ-
mental factors such as noise around may influence the performance of the partic-
ipants as well. Third, fatigue effect may cause a decrease in performance of a task.
A few participants reported that the priming task was too long. Therefore, partic-
ipant feels bore or tired which affect the performance and result.
According to previous research finding that people prefer second-person self-talk
when involving behaviors and in difficult situations requiring self-regulation
(Gammage et al., 2001). However, people tend to select first-person self-talk when
talking about personal feelings (e.g., “I like playing piano”) (Oliver et al., 2008).
Therefore, it is worth to investigate whether there have any interaction effect or
relationship in these variables. This study has suggested different research findings
concerning autonomy. It would be very interesting to conduct cross-cultural study
of self-talk in the future.
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School Adjustment for Hong Kong
Undergraduates: The Correlation Among
Parental Acceptance-Rejection,
Achievement Emotion, Academic
Achievement and Self-esteem
Yuen-Man Cheung and Man-Tak Leung
Abstract The present research was conducted to investigate the correlation

between school adjustments, parental acceptance-rejection, achievement emotion,
academic achievement and self-esteem of university students in Hong Kong. The
sample of the study consisted of 216 students by convenient sampling from uni-
versities in Hong Kong, to participate in completing 6 questionnaires. Confirmatory
factor analysis and Cronbach’s alpha were used to test the validity and evaluate the
reliability of the questionnaires, respectively. Path analysis and structural equation
modeling were used to analyze the data, whereas structural equation modeling was
conducted to examine the relationship between school adjustment, achievement
emotions and perceived competence. There were two main findings in this study.
First, maternal neglect and paternal rejection predicted significantly school
adjustment. Second, school adjustment acted as a predictor on achievement emo-
tion, which achievement emotions influence the perceived competence. This result
may be the first study to explore the inter-relationship among these three variables.
Therefore, it provides a new theoretical framework for future university students’
research. Educators can know more about how the school adjustment in university
affects the achievement emotion and thus the students’ perceived competence. This
can help them to develop more programs or workshops for university students for
the purpose of adjusting to the university.
Keywords Parental acceptance-rejection School adjustment Achievement

emotions Self-esteem
Y.-M. Cheung (&) M.-T. Leung

Department of Counselling of Psychology, Shue Yan University, Braemar Hill, North Point,
Hong Kong
e-mail: tiffanycheung24@gmail.com
URL: http://www.hksyu.edu
M.-T. Leung
e-mail: mtleung1@netvigator.com

https://doi.org/10.1007/978-981-10-8034-0_12
194 Y.-M. Cheung and M.-T. Leung
1 Introduction
Understudy from different families would get distinctive parental acceptance and
rejection. The maternal and paternal acceptance and rejection would give diverse
consequences for children. It is intrigued to know would parental and maternal
acceptance and rejection cause an alternate impact on student’s school adjustment
and inevitably giving an impact on achievement emotions and academic achieve-
ment. Likewise, adjusting to a new domain is the primary issue of entering the
university, since they have to grow new associate connections and adjust to the
learning style in university, and it may be a trouble for understudies to modify
themselves and impact their achievement emotion in the long run. Therefore, it is
interested to investigate the relationship between school adjustment and achieve-
ment emotions and academic achievement. Therefore, research concerning about
the relation of parental acceptance-rejection, school adjustment, academic
achievement and achievement emotion will be investigated.
1.1 Literature Review
1.1.1 Parental Acceptance-Rejection
Parental acceptance-rejection is a measurement on which all people can be placed

because every human being has experienced more or less support in their childhood
from their caregivers or significant others (Rohner, Khaleque, & Cournoyer, 2012;
Rohner, 2010). Parental acceptance is at the positive end of the continuum, while
the parental rejection is at the negative end of the continuum (Rohner & Khaleque,
2002). Parental acceptance refers to the warmth, affection, care, support or nurtu-
rance that children can understand through physical, verbal and typical practices in
the association with parents or significant others. There are mainly four perspectives
which are warmth/aggression, hostility/aggression, indifference/neglect and undif-
ferentiated rejection, respectively. Parental rejection refers to the absence or with-
drawal of the above support, love, care from the caregivers or significant others.
Warmth/aggression is the physical and verbal encounters of care, support and love
from parents. Hostility/aggression is the emotional feelings of anger which culti-
vates the nearness of hostility conduct. Indifference/neglect is the state that lack of
patience and attention to the needs of an individual. Undifferentiated rejection refers
to the individual’s beliefs that parents or significant others do not care or love them
(Rohner, 2004; Rohner et al., 2012).
School Adjustment for Hong Kong Undergraduates … 195
1.1.2 School Adjustment
In general, adjustment refers to the changing or controlling a person’s behaviors and

conforming to the environment so as to develop a pleasant relationship with the
existing environment (Lazarus, 1976; Kim, 2014). For school adjustment, it is one
of the vital indicators of psychosocial outcomes during the school years into
adulthood. Positive school adjustment predicts less behavioral issues, lower the
chance of drug and alcohol abuse and better educational attainment in adulthood
(Buckner, Mezzacappa, & Beardslee, 2009; Topitzes, Godes, Mersky, Ceglarek, &
Reynolds, 2009; Pears, Kim, Capaldi, Kerr, & Fisher, 2013). Students who show
positive school adjustment are likely to obtain a higher educational attainment in
the future (Ou & Reynolds, 2008).
1.1.3 Achievement Emotion
Achievement emotion (also known as academic emotion or the control-value theory

of achievement emotions) can influence a students’ learning and their achievement
(Villavicencio & Bernardo, 2013; Pekrun, Goetz, Frenzel, Barchfeld, & Perry,
2011). If the students find the learning is interesting, the willingness of paying more
effort and time will be higher, while they would pay less attention if they find it is
boring (Villavicencio & Bernardo, 2013). Achievement emotions are framed by
Pekrun (1992) which is one of the components of the control-value theory of
academic emotions. There are mainly two core types of achievement emotions
which are positive emotions (enjoyment, hope and pride) and negative emotions
(anger, anxiety and boredom), respectively (Pekrun et al., 2002).
1.1.4 Academic Achievement
In general, academic achievement can be known as the marker to the degree to

which a student has effectively completed objectives that primarily made by school.
Academic achievement has been underlined in China due to the profound estab-
lished cultural values connecting education with the societal position and the
financial ability (Quach, Epstein, Riley, Falconier, & Fang, 2015). The concept of
perceived competence was investigated under the self-determination theory which
aimed to measure how an individual viewed their own ability (Troum, 2010).
Wong, Wiest and Cusick (2002) reported that perceived competence was a pre-
dictor of academic achievement, while a study reported a similar results that per-
ceived competence was significantly related to academic achievement (Bouffard,
Marcoux, Vezeau, & Bordeleau, 2003).
1.1.5 Self-esteem
According to Rosenberg (1965), self-esteem is the positive or negative perception

toward oneself which has been proved as a predictor of school adjustment. For
example, a higher level of self-esteem has shown to be an essential factor of
adolescent’s personal development during the transition to university (Hickman,
Bartholomae, & McKenry, 2000).
1.1.6 Parental Acceptance-Rejection and School Adjustment
Passage into university can be a major phase of adolescent’s development as they

need to face different levels of changes such as independence and responsibility
which have not been experienced before (Roberts, 1995; Langhinrichsen-Rohling,
1997). According to Rohner (2010), both maternal and paternal acceptances were
correlated with the school adjustment for both boys and girls worldwide. Previous
studies suggested that mother was playing a significant role during the transition to
university (Moser, Paternite, & Dixon, 1996; Mounts, Valentiner, Anderson &
Boswell, 2006), while Chen, Liu and Li (2000) indicated that paternal control
significantly predicted children’s school maladjustment. To a degree, there is a
relation between parents and children’s school adjustment. The example of parental
acceptance-rejection can significantly impact student’s school adjustment from the
past studies. It is suggested that freshmen in university whose parents were divorced
and receive less acceptance from parents, showing a lower level of school adjust-
ment (Amato, 2001). Similar studies have shown that parental hostility and neglect
have been revealed to be associated with adjustment problems (Dishion, 1990; Hart,
DeWolf, Wozniak, & Burts, 1992). Therefore, it is expected that parental
acceptance-rejection predicts school adjustment among undergraduates.
1.1.7 Parental Acceptance-Rejection and Achievement Emotion
Considerable research has been examined the role of parenting toward the devel-
opment of adolescents. During this stage, adolescents require less coaching but
more emotional and acceptance from parents as opposed to accepting direction and
rules (Katz & Hunter, 2007). A correlation between parental acceptance-rejection
and emotional regulation has been found in the previous research. Dix and Meunier
(2009) reported that hostile and harsh parent–child relationship leads to the prob-
lems of children’s emotional dysregulation.
1.1.8 School Adjustment and Achievement Emotion
Entering into university can be a challenge to adolescent in their personal devel-

opment. Fail to adjust to a new environment could bring about various issues.
The typical indicators of maladjustment were loneliness, depression, unhappiness,

dissatisfaction and stressed, which fail to adjust could cause emotional problems
(Nightingale et al., 2013). A research proposed that emotion regulation knowledge
and abilities were significantly important toward the school adaption, if they were
not able to develop emotion regulation skills, and they were tend to experience
problems in adapting to school (Lopes, Mestre, Guil, Kremenitzer, & Salovey,
2012). Furthermore, a research conducted in China revealed that there was a sig-
nificant relationship between university student’s school adjustment and achieve-
ment emotions (Su & Ma, 2009). Students who have better school adjustment, the
more positive achievement emotions would obtain and they are interrelated and
influence each other. Therefore, it is suggested that there is a strong association
between school adjustment and emotions.
1.1.9 Achievement Emotion and Academic Achievement
The evidence of the linkage between achievement emotions and academic

achievement is quite limited. In general, Pekrun et al. (2011) showed that student’s
achievement emotions are predictor of academic performance. For positive
achievement emotions, only the relationship of enjoyment and academic perfor-
mance has been observed, and these studies revealed positive correlations between
enjoyment and academic performance (Pekrun et al., 2002). For negative
achievement emotions such as anger and shame, negative relationships with aca-
demic performance have been reported (Pekrun et al., 2002). Besides, for boredom
and hopelessness, the findings implied that the relationship between academic
performance and these emotions is negative (Pekrun, Elliot, & Maier, 2009; Pekrun
et al., 2002).
2 Methodology
2.1 Research Hypothesis
Referring to the literature review, nine hypotheses are formed to show the result
expectations.
H1 = Maternal acceptance-rejection has a significant relationship with school
adjustment (p = 0.05)
H2 = Maternal acceptance-rejection has a significant relationship with achievement
emotion (p = 0.05)
H3 = Paternal acceptance-rejection has a significant relationship with school
adjustment (p = 0.05)
H4 = Paternal acceptance-rejection has a significant relationship with achievement
emotion (p = 0.05)
H5 = School adjustment has a significant relationship with academic achievement

(p = 0.05)
H6 = School adjustment has a significant relationship with achievement emotion
(p = 0.05)
H7 = Achievement emotion has a significant relationship with academic achieve-
ment (p = 0.05)
H8 = School adjustment has a significant relationship with self-esteem (p = 0.05)
H9 = Achievement emotion has a significant relationship with self-esteem
(p = 0.05)
2.2 Proposed Framework
Based on the literature review, a theoretical framework of this study is generated

and shown in Fig. 1.
2.3 Participants and Sampling Method
Two hundred and sixteen students (70 male and 146 female) who are studying in
tertiary institution in Hong Kong were invited to participate in the study.
Fig. 1 Proposed framework of the relationships between parental acceptance-rejection theory,

school adjustment, achievement emotion and self-esteem in the present research
Convenience sampling was used to invite sample students from random universi-
ties. A consent from the study, concerning about the purpose, format and person in
charge, is distributed to the participants. Six instruments with rating scale were
included in the set of questionnaire.
2.3.1 Parental Acceptance-Rejection Questionnaire (PARQ)
The short form of PARQ contains 24 items on the four subscales of (a) warmth/
affection (sample item: “Says nice things about me”), (b) hostility/affection (sample
item: “Hits me, even when I do not deserve it”), (c) indifference/neglect (sample
item: “Pays no attention to me”) and (d) undifferentiated rejection (sample item:
“Seems to dislike me”). Participants were required to answer the items on a 4-point
Likert scale (1 = almost always true to 4 = almost never true) in response to their
perceptions toward mother’s and father’s actions to them (Rohner & Khaleque,
2005). The reliability of mother’s PARQ is 0.87–0.97, while father’s PARQ is
0.9–0.97 (Rohner, 2014).
2.3.2 School Adjustment Questionnaire
The School Adjustment Questionnaire invented by Fong (2005) will be used to

assess participants’ school adjustment for their university school life. The form of
School Adjustment Questionnaire contains 60 items on the seven subscales (a) in-
terpersonal relationship adaption, (b) learning adaption, (c) school life adaption,
(d) occupation adaption, (e) emotional adjustment, (f) self-adaption, (g) satisfaction,
respectively. Participants were required to respond to the items on a 5-point Likert
scale (1 = disagree to 5 = agree) according to their real situation from entering to
the university until the present. The overall reliability is 0.91.
2.3.3 Achievement Emotion Scale
A translated and adapted The Achievement Emotion Questionnaire will be used.

This questionnaire originally constructed by Pekrun (2005) is used to assess par-
ticipants’ achievement emotions. The scale is composed of three dimensions which
are class-related emotions, learning-related emotions and test-related emotions,
respectively. In total, the scale contains 48 items on the eight subscales (a) enjoy-
ment, (b) hope, (c) pride, (d) anger, (e) anxiety, (f) shame, (g) hopelessness and
(h) boredom. Each subscale consists of six questions, while hope and shame aspects
consist of five questions. Participants were required to respond to the items on a
5-point Likert scale (1 = totally disagree to 5 = totally agree), and the sum of all
questions is the score of each subscale. The overall reliability is from 0.84 to 0.94.
2.3.4 Academic Achievement
The Perceived Competence for Learning Scale (PCS) will be adapted to measure
participants’ feelings of competence in learning in university. This scale is a 4-item
scale with 7-point Likert scale (1 = not at all true to 7 = very true). The four items
are related to four main aspects which are (a) confidence, (b) capability, (c) ability
to achieve goals and (d) how well the individual responds to the challenge,
respectively. Students’ grade point average (GPA) will also be used to be the
indicator of academic achievement by the self-report of participants.
2.3.5 Self-esteem
The self-esteem scale (Rosenberg, 1965) will be used to measure participants’

self-esteem. It is one of the most widely used to measure self-esteem, and a translated
Chinese version (Yeung, 1998) will be used in the present study. There are 10 items
in total with a 4-point Likert scale (1 = strongly disagree to 4 = strongly agree).
Average score will be calculated, and a high score indicates positive self-esteem.
According to Yeung (1998), the mean score was 22.2 in Hong Kong which can be
the indicator of determining high and low self-esteem in the present study. The
reliability of the original English version was 0.83 (Grant-Vallone, Reid, Umali, &
Pohlert, 2003), while the translated version was 0.80.
3 Results
3.1 Descriptive Statistics and Correlational Analysis
The mean, standard deviations, sample size and with the correlation between the
twenty-five variables in this study are shown in Table 1. The mean for age is 20.3,
and number of male is 70 and female is 146.
3.2 Reliability Analysis
In the pilot study, all the instruments have a satisfactory and good reliability, with
the a greater than or equal to 0.60. In the main study, all the instruments are good
and reliable, for which the a > 0.60, and the details are shown in Table 2. For
Parental Acceptance-Rejection Questionnaire, the internal consistency of maternal
acceptance-rejection is 0.560 with the internal consistencies of its four subscales
being satisfactory. The internal consistency of paternal acceptance-rejection is
0.667 with the internal consistencies of its four subscales being satisfactory.
Table 1 Descriptive statistics and correlations between different variables (N = 216)
1 2 3 4 5 6 7 8 9 10 11 12
1 Maternal love/affection –
2 Maternal hostility −0.579** –
3 Maternal indifference/ −0.662** 0.590** –
neglect
4 Maternal undifferential −0.673** 0.781** 0.675** –
rejection
5 Paternal love/affection 0.422** −0.396** −0.330** −0.333** –
6 Paternal hostility −0.414** 0.624** 0.527** 0.536** 0.508** –
7 Paternal indifference/ −0.312** 0.511** 0.491** 0.495** −0.666** 0.623** –
neglect
8 Paternal indifference −0.465** 0.522** 0.541** 0.628** −0.444** 0.763** 0.599** –
rejection
9 Interpersonal relational 0.325** −0.319** −0.366** −0.306** −0.271** −0.295** −0.209** −0.333** –
adaption
10 Interpersonal relational 0.116 −0.165* −0.242** −0.137* 0.226** −0.199** −0.176** −0.146* 0.503** –
School Adjustment for Hong Kong Undergraduates …
adaption
11 School life adaption 0.314** −0.222** −0.387** −0.358** 0.188** −0.193** −0.185** −0.322** 0.562** 0.574** –
12 Occupational adaption 0.182** −0.156* −0.304** −0.260** 0.139** −0.175* −0.211** −0.271** 0.563** 0.617** 0.578** –
13 Emotional adaption 0.362** 0.309** 0.332** 0.329** 0.382** −0.213** −0.272** −0.270** 0.608** 0.475** 0.644** 0.449**
14 Self-adaption 0.244** −0.258** −0.279** −0.275** 0.293** −0.167** −0.190** −0.165** 0.572** 0.560** 0.654** 0.441**
15 Overall adaption 0.218** −0.176** −0.277** −0.219** 0.255** −0.197** −0.186** −0.269** 0.584** 0.607** 0.708** 0.524**
16 Enjoyment 0.022 −0.108 −0.011 −0.038 0.188** −0..119 −0.122 −0.004 0.325** 0.683** 0.395** 0.288**
17 Hope 0.139* −0.178** −0.207** −0.122 0.198** −0.152* −0.126 −0.097 0.362** 0.659** 0.492** 0.332**
18 Pride 0.185** −0.009 −0.168* −0.075 0.161* −0.149* −0.03 −0.116 0.266** 0.457** 0.293** 0.192**
(continued)
201
Table 1 (continued)
202
19 Anger −0.324** 0.280** 0.383** 0.330** −0.204** 0.294** 0.188** 0.354** 0.394** −0.242** −0.354** −0.281**
20 Anxiety −0.186** 0.239** 0.299** 0.323** −0.194** 0.192** 0.260** 0.264** −0.381** −0.183** −0.379** −0.301**
21 Shame −0.230** 0.303** 0.362** 0.296** −0.260** 0.297** 0.309** 0.275** −0.489** −0.317** −0.416** −0.368**
22 Hopelessness −0.289** 0.298** 0.414** 0.405** −0.200** 0.346** 0.239** 0.427** −0.523** −0.431** −0.582** −0.472**
23 Boredom −0.011 0.169* 0.246** 0.149* 0.228** −0.183** −0.204** −0.134* −0.383** −0.579** −0.394** −0.377**
24 Perceived competence 0.133 −0.197** −0.193** −0.153* 0.218** −0.013 −0.166** −0.056 0.431** 0.621** 0.463** 0.345**
25 Self-esteem 0.403** −0.352** −0.470** −0.408** 0.298** −0.320** −0.251** −0.363** 0.602** 0.456** 0.640** 0.480**
M 2.7 1.8 1.9 1.6 2.5 1.7 2.1 1.6 3.3 3.1 3.3 3.2
SD 0.52 0.55 0.49 0.61 0.53 0.56 0.59 0.57 0.48 0.53 0.55 0.5
13 14 15 16 17 18 19 20 21 22 23 24 25
1 Maternal love/
affection
2 Maternal hostility
3 Maternal
indifference/neglect
4 Maternal
undifferential
rejection
5 Paternal love/
affection
6 Paternal hostility
7 Paternal
indifference/neglect
8 Paternal indifference
rejection
9 Interpersonal
relational adaption
(continued)
Y.-M. Cheung and M.-T. Leung
Table 1 (continued)
10 Interpersonal
relational adaption
11 School life
adaption
12 Occupational
adaption
13 Emotional adaption –
14 Self-adaption 0.738** –
15 Overall adaption 0.631** 0.702** –
16 Enjoyment 0.382** 0.466** 0.443** –
17 Hope 0.413** 0.525** 0.466** 0.733** –
18 Pride 0.325** 0.377** 0.366** 563** 0.690** –
19 Anger −0.369** −0.288** −0.322** −0.329** −0.291** −0.247** –
20 Anxiety −0.442** −0.356** −0.328** −0.134** −0.202** 0.039 0.605** –
21 Shame −0.486** −0.449** −0.416** −0.235** −0.306** −0.156* 0.529** 0.784** –-
22 Hopelessness −0.462** −0.398** −0.429** −0.344** −0.426** −0.295** 0.610** 0.677** 0.693** –
School Adjustment for Hong Kong Undergraduates …
23 Boredom −0.430** −0.458** −0.421** −0.676** −0.598** −0.429** 0.535** 0.342** 0.449** 0.581** –
24 Perceived 0.467** 0.583** 0.451** 0.574** 0.685** 0.519** −0.285** −0.380** −0.424** −0.455** −0.523** –
competence
25 Self-esteem 0.669** 0.728** 0.607** 0.327** 0.507** 0.351** −0.473** −0.548** −0.625** −0.621** −0.428** 0.601** –
M 3.2 3.2 3.3 2.9 3.2 3.4 2.5 2.5 2.6 2.2 2.8 4.5 2.7
SD 0.54 0.6 0.61 0.92 0.78 0.78 0.93 0.99 1 1.01 0.99 1.23 0.47
*p < 0.05, **p < 0.01, ***p < 0.001
203
Table 2 Coefficient alphas Scale Cronbach’s alpha (a)

of six questionnaires in main
study Maternal acceptance-rejection
1. Love/affection 0.856
2. Hostility 0.788
3. Indifference/neglect 0.780
4. Undifferential rejection 0.848
Paternal acceptance-rejection
5. Love/affection 0.847
6. Hostility 0.801
7. Indifference/neglect 0.813
8. Undifferential rejection 0.802
School adjustment
9. Interpersonal relationship adaption 0.710
10. Learning adaption 0.782
11. School life adaption 0.719
12. Occupational adaption 0.672
13. Emotional adjustment 0.715
14. Self-adaption 0.784
15. Overall satisfaction 0.677
Achievement emotion
16. Enjoyment 0.941
17. Hope 0.913
18. Pride 0.917
19. Anger 0.912
20. Anxiety 0.934
21. Shame 0.928
22. Hopelessness 0.951
23. Boredom 0.930
Perceived competence
24. Perceived competence 0.947
Self-esteem
25. Self-esteem 0.874
The internal consistency of school adjustment is 0.866 with the internal consis-
tencies of its seven subscales being satisfactory. The internal consistency of
achievement emotion is 0.896 with the internal consistencies of its eight subscales
being satisfactory. The internal consistency of perceived competence is 0.947. For
the self-esteem, the internal consistency is 0.874.
3.3 Confirmatory Factor Analysis
In this study, confirmatory factor analysis has been used to test the validity of the
instruments by examining the interrelationship of the variables (Gorsuch, 1983).
The detailed results of three instruments are shown in Table 7. For all scales, no
parceling is needed. For achievement emotion scale and self-esteem scale, the CFI
is greater than or equal to 0.95, the ratio between v2/df is smaller than or equal to
4.09, and the RMSEA is smaller than or equal to 0.120, which indicate that the
instruments are tested to be valid. For positive achievement emotion,
v2 (132) = 540.56; v2/df = 4.09; RMSEA = 0.120; CFI = 0.958; GFI = 0.779.
For negative achievement emotion, v2 (395) = 1273.83; v2/df = 3.22;
RMSEA = 0.102; CFI = 0.962; GFI = 0.693. For self-esteem, v2 (34) = 109.28;
v2/df = 3.21; RMSEA = 0.101; CFI = 0.961; GFI = 0.910 (Table 3).
4 Path Analysis of Maternal Acceptance-Rejection,

School Adjustment and Achievement Emotions
Path analyses are conducted by using LISREL. Figure 2 indicates relationships

between maternal acceptance-rejection, school adjustment and achievement emo-
tions. The result revealed that maternal love/affection was a significant positive
predictor of emotional adjustment (b = 0.20, p < 0.05). There were no significant
relationships between the remaining indicators of school adjustment. The result
revealed that there were no significant relationships between maternal hostility/
aggression and the indicators of school adjustment. Moreover, it discovered that
maternal indifference/neglect was a significant positive indicator of interpersonal
relationship adjustment (b = −0.23, p < 0.05), learning adjustment (b = −0.29,
p < 0.01), school adjustment (b = −0.27, p < 0.01), vocational adjustment
(b = −0.28, p < 0.01) and overall satisfaction (b = −0.22, p < 0.05). There were
no significant relationships between maternal indifference/neglect and the remain-
ing indicators of school adjustment. The result also revealed that maternal undif-
ferentiated rejection was a significant positive predictor of school adjustment
(b = −0.29, p < 0.05) and vocational adjustment (b = −0.24, p < 0.05). There
were no significant relationships between maternal undifferentiated rejection and
the remaining indicators of school adjustment.
Table 3 Goodness-of-fit index

Scales df v2 v2/df GFI CFI RMSEA
AE (positive) 132 540.561 4.095 0.779 0.958 0.120
AE (negative) 395 1273.830 3.224 0.693 0.962 0.102
SES 34 109.282 3.214 0.910 0.961 0.101
Fig. 2 The path model showing the effects of maternal acceptance-rejection, school adjustment
and achievement emotion. *p < .05, **p < .01, ***p < .001
Moreover, the result indicated that interpersonal relationship adjustment was

positive predictor of anger (b = −0.23, p < 0.01), shame (b = −0.27, p < 0.01) and
hopeless (b = −0.27, p < 0.001). For the learning adjustment, it was a positive
predictor of enjoyment (b = 0.75, p < 0.001), hope (b = 0.61, p < 0.001), pride
(b = 0.45, p < 0.001) and boredom (b = −0.49, p < 0.001) for the school adjust-
ment, and it was a positive predictor of hope (b = 0.18, p < 0.05) and hopeless
(b = −0.44, p < 0.001). For the vocational adjustment, it was a positive predictor of
enjoyment (b = −0.24, p < 0.01), hope (b = −0.20, p < 0.01) and pride
(b = −0.21, p < 0.05). The emotional adjustment was a positive predictor of anx-
iety (b = −0.29, p < 0.01) and shame (b = −0.20, p < 0.05). For the
self-adjustment, it was the positive indicator of hope (b = −0.21, p < 0.05), while
the overall satisfaction was the positive indicator of hopeless (b = −0.17, p < 0.05).
5 Path Analysis of Paternal Acceptance-Rejection,

School Adjustment and Achievement Emotions
Another path model between paternal acceptance-rejection, school adjustment and

achievement emotions has been examined and shown in Fig. 3. The result revealed
that paternal love/affection was a significant positive indicator of interpersonal
relationship adjustment (b = 0.19, p < 0.05), emotional adjustment (b = 0.35,
p < 0.001) and self-adjustment (b = 0.29, p < 0.01), while there was no significant
relationship between paternal love/affection and the remaining indicators of school
Fig. 3 The path model showing the effects of paternal acceptance-rejection, school adjustment
and achievement emotion. *p < .05, **p < .01, ***p < .001
adjustment. As for the paternal hostility/aggression and paternal indifference/

neglect, there were no significant relationships between these two factors and all
indicators of school adjustment. For the undifferentiated rejection, it was a signif-
icant positive predictor of interpersonal relationship adjustment (b = −0.28,
p < 0.01), school adjustment (b = −0.42, p < 0.001), vocational adjustment
(b = −0.29, p < 0.01), emotional adjustment (b = −0.21, p < 0.05) and overall
satisfaction (b = −0.26, p < 0.05).
For the achievement emotions, as shown in Fig. 3, the result revealed that hope
(b = 0.36, p < 0.001), shame (b = −0.31, p < 0.001) and hopeless (b = −0.21,
p < 0.01) were significant indicators of self-esteem, while there were no significant
relationships between other achievement emotions and self-esteem.
5.1 SEM with School Adjustment, Positive Achievement

Emotions and Perceived Competence
The structural model for this study is shown in Fig. 4. This model is used to show
the relationships between the three latent variables, including school adjustment,
positive achievement emotion and perceived competence, to their observed
variable/indicators. The goodness-of-fit indices for this structural model are satis-
factory, which the v2(43) = 217.50; the Chi-square ratio v2/df = 2.05; GFI = 0.86;
CFI = 0.94; RMSEA = 0.13.
School adjustment has seven indicators, including interpersonal relationship,
learning, school, vocational, emotional, self-adjustment and overall satisfaction.
Fig. 4 The structural model of the relationships between school adjustment, positive achievement
emotions and perceived competence. Note: Inter = Interpersonal; Learn = Learning; School =
School; Vocation = Vocational; Emo = Emotional; Self = Self-adjustment; All = Overall; Enjoy =
Enjoyment; Hope = Hope; Pride = Pride; PC = Perceived Competence; RMSEA = Root Mean
Square Error of Approximation; GFI = Goodness of Fit Index; CFI = Comparative Fit Index,
*p < .05. **p < .01, ***p < .001
School adjustment is significantly related to all seven indicators, which are inter-
personal relationship (b = 0.71, p < 0.001), learning (b = 0.73, p < 0.001), school
(b = 0.81, p < 0.001), vocational (b = 0.65, p < 0.001), emotional (b = 0.78,
p < 0.001), self-adjustment (b = 0.82, p < 0.001) and overall satisfaction
(b = 0.83, p < 0.001).
Positive achievement emotions include 3 observed variables, including enjoy-
ment, hope and pride. Positive achievement emotions are significantly correlated to
the 3 observed variables, which are enjoyment (b = 0.78, p < 0.001), hope
(b = 0.93, p < 0.001) and pride (b = 0.72, p < 0.001).
Perceived competence have 1 observed variables and it is significantly related to
the indicators, which perceived competence (b = 0.73, p < 0.001).
As for the latent variables, three of the latent variables are significantly corre-
lated, with p < 0.001. School adjustment was positively related to positive
achievement emotions (b = 0.67, p < 0.001), whereas positive achievement emo-
tions would positively and significantly give rise to perceived competence
(b = 1.00, p < 0.001).
5.2 SEM with School Adjustment, Negative Achievement

Emotions and Perceived Competence
The structural model for this study is shown in Fig. 5. This model is used to show
the relationships between the three latent variables, including school adjustment,
Fig. 5 The structural model of the relationships between school adjustment, negative achieve-
ment emotions and perceived competence. Note: Inter = Interpersonal; Learn = Learning; School =
School; Vocation = Vocational; Emo = Emotional; Self = Self-adjustment; All = Overall; HL =
Hopeless; PC = Perceived Competence; RMSEA = Root Mean Square Error of
Approximation; GFI = Goodness of Fit Index; CFI = Comparative Fit Index, *p < .05.
**p < .01, ***p < .001
negative achievement emotion and perceived competence, to their observed

variable/indicators. The goodness-of-fit indices for this structural model are satis-
factory, which the v2(64) = 376.26; the Chi-square ratio v2/df = 5.87; GFI = 0.78;
CFI = 0.92; RMSEA = 0.15.
School adjustment has seven indicators, including interpersonal relationship,
learning, school, vocational, emotional, self-adjustment and overall satisfaction.
School adjustment is significantly related to all seven indicators, which are inter-
personal relationship (b = 0.74, p < 0.001), learning (b = 0.70, p < 0.001), school
(b = 0.82, p < 0.001), vocational (b = 0.66, p < 0.001), emotional (b = 0.80,
p < 0.001), self-adjustment (b = 0.82, p < 0.001) and overall satisfaction
(b = 0.83, p < 0.001).
Negative achievement emotions include 5 observed variables, including anger,
anxiety, shame, hopeless and boredom. Negative achievement emotions are sig-
nificantly correlated to the 5 observed variables, which are anger (b = 0.69,
p < 0.001), anxiety (b = 0.80, p < 0.001), shame (b = 0.83, p < 0.001), hopeless
(b = 0.84, p < 0.001) and boredom (b = 0.62, p < 0.001).
Perceived competence have 1 observed variables and it is significantly related to
the indicators, which perceived competence (b = 0.55, p < 0.001).
As for the latent variables, three of the latent variables are significantly corre-
lated, with p < 0.001. School adjustment was negatively related to negative
achievement emotions (b = −0.69, p < 0.001), whereas negative achievement
emotions would positively and significantly give rise to perceived competence
(b = −1.00, p < 0.001).
6 Discussion
6.1 The Relationship Between Parental

Acceptance-Rejection and School Adjustment
Based on the descriptive statistics, only maternal indifference/neglect is negatively

significantly related to interpersonal relationship adjustment, learning adjustment,
school adjustment, vocational adjustment and overall adjustment, and paternal
rejection was negatively related to interpersonal relationship adjustment, school
adjustment, vocational adjustment and emotional adjustment. These two subcate-
gories are having strong relationship with the subcategories of school adjustment.
The results are consistent with the hypotheses. Due to the limited research on
paternal acceptance-rejection, it could be explained by using parental rejection.
According to the past studies, parental neglecting has been found to be associ-
ated with children’s maladaptive and incompetent behaviors such as aggression and
other adjustment problems (Dishion, 1990; Hart, DeWolf, Wozniak, & Burts, 1992;
Chen, Rubin, & Li, 1997), in which the present study is consistent with the past
studies. However, maternal love has been found to have positive influences on
children’s social and cognitive developments and, in turn, strengthen the ability of
their adjustment in the past study (Chen et al., 1997). In the present study, maternal
love did not have a significant relationship toward school adjustment which is
inconsistent with the past study.
Moreover, past studies revealed that children who had the experiences of par-
ental neglect were having a higher risk of a number of problematic developmental
health such as learning problems and peer rejection (Egeland, Sroufe, & Erickson,
1983; Erickson & Egeland, 2002; Petersen, Joseph, & Feit, 2014). Thus, it can be
implied that parental neglect may increase the difficulty in adjusting in interpersonal
relationship, emotion and learning when entering the university. Also, rejected
children have been found to have higher chances of experiencing negative peer
treatment. They were usually lower in the school participation and having adjust-
ment problem. Eventually, they desired to avoid school and report their loneliness
at school (Buhs & Ladd, 2001). Based on the past and present studies, parental
acceptance-rejection can be identified as playing a role in students’ school adjust-
ment, causing both positive and negative influences.
6.2 The Relationship Between School Adjustment,

Achievement Emotions and Perceived Competence
For the relationship between school adjustment, achievement emotions and per-
ceived competence, some significant relationships were discovered and consistent
with literature and hypotheses. In the present study, interpersonal relationship
adjustment, learning adjustment, school adjustment and emotional adjustment are
negatively significant to negative achievement emotions; learning adjustment,

school adjustment and self-adjustment are positively significant to positive
achievement emotions.
According to the past studies, maladjustment to the university may result in
adjustment problems in which students may exhibit negative emotional symptoms
(Nyamayaro & Saravanan, 2013). Besides, there were positive relationships
between school adjustment and positive achievement emotions, while negative
relationships were found between school adjustment and negative achievement
emotions in a Chinese study (Ko, 2014). The present study is consistent with the
past studies. According to the Control-Value theory proposed by Pekrun, pride,
shame, and anger are assumed to be control-dependent, in which activated by causal
attributions of success and failure suggesting that the self, other persons or situa-
tional factors (Pekrun, Frenzel, Goetz & Perry, 2011). For pride and shame, they are
posited to be induced by the attributions of success and failure to the self (Pekrun
et al., 2011). In the present study, learning and emotional adjustment are related to
the self, causing the appearance of pride and shame. Those who were unable to
control and adjust their self-emotion in the university are easier to feel shame since
emotions are mainly related to the self. Moreover, as learning is related to the
students’ hard work, if the students had a successful learning adjustment in the
university, he or she may have a higher chance to feel pride. For anger, it is posited
to be induced by the attributions to other persons (Pekrun et al., 2011). In the
present study, interpersonal relationship adjustment predicted anger. As entering the
university, making of new friends and modifying the existing relationships are
the requirements for all students (Parker, Summerfeldt, Hogan, & Majeski, 2004). If
the students fail in meeting and adjusting to the demands of entering the university,
they may have a higher chance of experiencing anger. Boredom is aroused and
instigated by the non-valued activities and academic settings (Pekrun et al., 2011).
In the present study learning adjustment predicted boredom. For example, if the
students had the difficulty in adjusting in the university, he or she may find or think
learning is useless; in turn, boredom may produce.
Besides, positive achievement emotions are posited to be a multiplicative
function of perceived controllability and positive values of activities or outcomes
(Pekrun et al., 2011). If the students had successful school adjustment in the uni-
versity, he or she may be more interested in studying, implying that a positive
values and attitude toward university activities, in turn, may induce positive
achievement emotions. On the other hand, according to Pekrun, control-related
beliefs and value-related beliefs such as the self-concept of ability and personal
interests are assumed to influence the appraisals and result in positive achievement
emotions (Pekrun et al., 2011). It indicated that students were having uncertainties
toward their ability to meet the challenges and demands. Thus, if they doubt
themselves, the chance of inducing negative achievement emotions is higher, while
students who believe in self-ability may have better school adjustment and predict
positive achievement emotions.
According to the resource allocation model, both positive and negative emotions
consume cognitive resources by focusing the attention on the object of emotions.
Once the person paid attention, fewer resources are available for the task com-
pletion, in which, can have negative implications for the performance (Pekrun &
Stephens, 2010). For example, failure in school adjustment higher the chance of the
appearance of negative achievement emotions, which may distract students’
attention away from the academic in the university. Besides, mood can enhance the
mood-congruent memory process. Positive mood could facilitate the retrieval of
positive self and task-related information, while negative mood could facilitate the
retrieval of negative information (Levine & Burgess, 1997; Pekrun & Stephens,
2010). For example, students who are successful in school adjustment would have
positive achievement emotions. Thus, this can foster their self-recognition and
motivate them to finish their study in the university. Since they have positive
achievement emotions, positive self and task-related information can be obtained. It
may in turn higher the positive influence toward their perceived competence in the
university such as believing in them, more confidence to meet the obstacles and
challenges in the future.
6.3 The Relationship Between Achievement Emotions

and Self-esteem
For the relationship between achievement emotions and self-esteem, some signif-
icant relationships were resulted and consistent with previous studies. In the present
study, hope, shame and hopelessness are significant to self-esteem. According to
the literature, shame was particularly tied to self-esteem (Borwn & Marashall, 2001;
Ward, 2014), which were consistent with the present study. From the findings of the
past and present, students who are experiencing high levels of shame in the uni-
versity are more likely to obtain a lower self-esteem. Moreover, the previous studies
revealed that hope and self-esteem correlated with each other (Heaven & Ciarrochi,
2008), implying that the change in the level of hope could change the level of
self-esteem, while the level of self-esteem could change the level of hope.
Therefore, the students who have a higher-level hope could make a change toward
his or her self-esteem in dealing with the challenges in the university.
7 Conclusion
The present study has contributed to provide two main findings, including the
effects of maternal neglect and paternal reject to school adjustment. Furthermore,
the model between the three variables, in which achievement emotions would
induce by school adjustment and influence the perceived competence. There are
some limitations in the present research. The sample size is not enough, which the
sample size is N = 215. The critical N for confirmative factor analysis is relatively
low. This caused the RMSEA and GFI may not be most accurate enough or best
fitted to indicate the validity of the instruments. Moreover, since the questionnaires
were distributed by convenient sampling, the distribution of participants from
different universities was unequal. Thus, low in generalization is resulted. Also, the
ratio between the male and female participants was not equal. It may affect the
result.
As mentioned before, there is only one predictor predicting achievement emo-
tions, and further studies can develop models on other predictors such as coping
style, including both emotion-focused and problem-focused coping. Researchers
can test investigate about the relationship between school adjustment, coping
styles and achievement emotions. On the other hand, since the parental
acceptance-rejection did not show a strong relationship with school adjustment,
researchers can explore the relationship of attachment style or parent–child
relationship.
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Theoretical Components of Workplace
Safety Climate and Their Implications
for Practice
Cassandra Heffernan, Julia Harries and Neil Kirby
Abstract Management safety commitment is an important theoretical factor in

safety climate measurement and research; however, the influence of co-workers has
received less attention. This study investigated whether co-worker safety attitudes
and behaviours contributed explanatory variance to associations with burnout or
whether management attitudes and behaviours primarily determine this association.
Hospitality employees (N = 111) completed safety climate, psychosocial safety
climate (PSC), and burnout measures. Results showed safety climate was signifi-
cantly correlated with personal, work and customer-related burnout. Multiple
regressions showed co-worker factors did not add predictive capacity for burnout
above management factors, although did for determining whether workers experi-
enced customer-related burnout. Results were compared to findings for Disability
Support Workers where co-worker factors added predictive capacity above man-
agement factors for burnout. Findings suggested worker and manager safety-related
attitudes and behaviours are important theoretical components of safety climate, but
their relative influence varies according to the safety climate measure used and
organisational structure.
Keywords Organisational psychology Psychosocial safety Burnout

Safety climate
C. Heffernan (&) J. Harries N. Kirby

e-mail: cassandra.heffernan@student.adelaide.edu.au
J. Harries
e-mail: julia.harries@adelaide.edu.au
N. Kirby

https://doi.org/10.1007/978-981-10-8034-0_13
218 C. Heffernan et al.
1 Introduction
1.1 Work Safety in Australia
There are significant economic costs associated with poor physical and psycho-
logical health at work. Work injuries not only directly affect employees, but they
also indirectly affect employers, workers compensation insurers and administrators
due to the associated financial costs (Guthrie, Ciccarelli, & Babic, 2010). Economic
costs of workplace injury to the Australian economy were estimated at $61.8 billion
for the 2012–13 financial year (Safe Work Australia, 2015). According to the
Australian Compensation Statistics 2011–12, the Health and Community services
industry made the largest number of serious claims, at 19,060. This was followed
by the manufacturing industry, with 16,670 serious claims, and construction at
12,485.
Psychological injury costs arising from workplace stress for organisations and
the broader economy are also substantial (Safe Work Australia, 2013).
Work-related mental stress claims are the most expensive form of workers’ com-
pensation claim because of the length of the absence from work that is typical of
these claims. A study by an Australian private health insurance company reported
that in 2008, the total cost of work-related mental stress to the Australian economy
was $14.81 billion; the direct cost to employers alone in stress-related absenteeism
was $10.11 billion (Medibank Private, 2008). It was noted that these figures would
be higher if they included the hidden costs associated with re-staffing and
re-training that result from high staff turnover caused by stress.
Statistics like these indicate that work safety, including psychological health,
ought to be an important concern for all organisations. Thus, being able to predict
and prevent an accident or injury, whether physical or psychological, is of particular
importance.
1.2 Safety Climate
In recent years, interest in the concept of safety climate and its utility in predicting
organisational safety performance has increased. Contributing to this interest has
been research demonstrating that organisational safety climate is related to the
number of workplace accidents in a variety of occupational settings, including
chemical plants (e.g. Hofmann & Stetzer, 1996), manufacturing (Clarke, 2006),
construction (e.g. Dodobbeleer & Beland, 1991; Nielsen & Mikkelsen, 2007; Siu,
Phillips, & Leung, 2004), and offshore environments (e.g. Cox & Cheyne, 2000;
Flin, Mearns, Gordon, & Fleming, 1996). As such, a variety of safety climate
surveys have been created and are commonly used in organisations. This has been
associated with a movement away from safety measures based on retrospective
data (“lag indicators”) such as fatalities, lost time, accident rates and incidents,
Theoretical Components of Workplace Safety Climate … 219
towards “leading indicators” such as safety audits or measurements of safety climate.

These predictive measures enable organisations to monitor their safety conditions,
which may reduce the need for an accident to occur in order to identify safety
weaknesses and to make improvements. Furthermore, a safety climate survey costs an
organisation far less money than proactive preventions such as a safety audits,
although they cannot entirely replace other diagnostic tools (Siu et al., 2004).
Safety climate, as first conceptualised by Zohar (1980), was defined as “a
summary of molar perceptions that employees share about their work environments.
It is a frame of reference for guiding appropriate and adaptive task behaviours”
(p. 96). Since its conception, a number of different definitions for safety climate
have arisen. Griffin and Neal (2000) argue that safety climate is employees’ per-
ceptions of the policies, procedures, and practices relating to safety. However,
others have proposed broader definitions in which safety climate encompasses a
wider range of components, including attitudes towards safety (e.g. Mearns,
Whitaker, & Flin, 2003). Despite differences in definition, the fundamental
assumptions of safety climate are the same. Safety climate is a multi-dimensional
construct that influences the safety behaviour of workers at the individual, group,
and organisational level. Furthermore, it provides a snapshot of the current state of
safety in an organisation at a distinct point in time while recognising that it is a
dynamic process that changes over time (Cheyne, Cox, Oliver, & Tomas, 1998;
Griffin & Neal, 2000; Guldenmund, 2000).
Zohar (1980) conceptualised safety climate as an antecedent of workplace
injuries. It is thought that the influence of perceptions of workplace safety policies,
procedures and practices on injuries is mediated via their direct effects on
behaviour-outcome expectancies, which consequently affect safety behaviour and
performance (Christian, Bradley, Wallace, & Burke, 2009; Clarke, 2006;
Guldenmund, 2000). Christian et al. (2009) found group safety climate had the
strongest association with accidents and injuries through meta-analytic correlations
and path analysis results. This process occurs because safety climate acts as a frame
of reference for the behaviour and attitudes of employees. As such, safety climate
guides normative safety behaviour. For example, an organisation that encourages
and rewards safety provides a clear message to employees that working safely is a
suitable organisational behaviour and as such employees of this organisation will
consider working safely to be the norm. On the other hand, an organisation that
prioritises production over safety and does not reward safety behaviour sends a
message to employees that working safely is not a priority. This organisation is
more likely to have workplace accidents. Models of accident causation have pro-
vided support for this interpretation (Tomas, Melia, & Oliver, 1999).
1.3 Safety Climate and Worker Well-being
In addition to demonstrating the relationship between safety climate and work

injuries, the relationship between a positive safety climate and reduced workplace
stress has also been highlighted in the literature (Oliver, Cheyne, Tomas, & Cox,
2002; Siu et al., 2004). As such, safety climate is an important construct to examine
in an organisation as the consequences of a negative safety climate extend beyond
that of accidents and includes influences on worker well-being. In particular, jobs
that are characterised by high role demands (e.g. role overload and role conflict) are
thought to foster the perception that production is prioritised over safety, which
could lead to a negative safety climate (Clarke, 2010). Clarke and Cooper (2004)
argue that safety climate predicts employees’ general health, which in turn predicts
workplace accidents. According to this model, a negative safety climate leads to
increased occupational stress, which reduces physical and psychological
well-being. This leaves employees more susceptible to accidents and injuries.
Hofmann and Stetzer (1996) found that a perception of high role overload was
predictive of a greater likelihood to cut-corners and demonstrate unsafe behaviours.
Siu, Phillips, and Leung (2004) concluded that the reason for this increase was that
employees with a perceived high level of work pressure focused on completing
their tasks and less on the safety of their work procedures. The question still
remains whether causation can go both ways; for example, that stress from role
conflict leads to a negative safety climate which in turn creates greater stress, both
of which lead to increased risk of stress effects and accidents.
1.4 Measuring Safety Climate
As yet there is no consensus as to which factors comprise the construct of safety

climate (Guldenmund, 2000). Often researchers have created industry-specific
measures (e.g. Flin et al., 2000), which have led to very different numbers and types
of factors in safety climate measures. Flin et al. (2000) concluded that management
commitment to safety, safety systems, risk, work pressure, and competence, were
the most common safety climate factors in the literature. However, despite these
being the most common factors, there is no evidence to suggest that they comprise
the best factors of the safety climate construct in terms of its relationship to work
accidents, or that some of these dimensions even represent safety climate at all
(Beus et al., 2010). The factor with the most consensus in the literature is man-
agement commitment to safety, which has been seen as a fundamental factor in
safety climate research (Brown & Holmes, 1986; Cox & Cheyne, 2000;
Dedobbeleer & Beland, 1991). Therefore, it is widely acknowledged that the degree
to which managers are viewed as setting safety as a priority in an organisation will
significantly influence employees’ perceptions of the importance of safety (Clarke,
2010).
Less widely researched, and of particular focus in the current study, is the
influence of co-workers in determining a safety climate within an organisation.
Co-worker influences may be less researched due to the more limited focus
on health care and human service work, where co-worker interactions and
decision making may be more influential in terms of safety-related behaviour,
compared with less interactive and individualised work settings, as in manufac-

turing. Becker (1992) found from research with 30 organisations that individuals
feel more committed to their co-workers than to their supervisors, managers, or the
organisation itself. Andriessen (1978) found that when groups in the construction
industry are well coordinated in their work there are less misunderstandings and
accidents. This is attributed to the group atmosphere that promotes the development
of positive safety norms. When this occurs members of an organisation are sup-
ported to work safely by approval of their peers and colleagues. Alternatively, if an
employee is perceived to look “childish” or “not tough enough” for following
safety regulations by their co-workers, they may be easily motivated to work less
safely or to take risks. Therefore, it can be argued that co-workers may be highly
influential on someone’s motivation to work safely (Andriessen, 1978). Thus, the
attitudes and norms of co-workers may be an influential factor in relation to safety
climate, despite the limited research that has examined this perspective.
It is important to note that the factors relevant to work safety climate may vary
from one type of work to another. For example, workers who work by themselves
are not going to have a work safety climate that is influenced by co-worker
behaviour. The importance of work attitudes may also depend on the extent to
which workers are required to make decisions for themselves or together. For
example, in human service work employees are given far more autonomy to make
decisions both individually and with co-workers than in manufacturing, where
employees generally follow established procedures or the directions of their
supervisors. In recent years, there have been changes in the way people work, with
an increase in human service industries, meaning more people work in groups and
have to make decisions with co-workers than previously (Industry Employment
Projections Report, 2016). As such, to the extent that human services increase and
manufacturing industries decrease in the future, co-worker influences are likely to
become more important for more jobs. This may also be evident in virtual organ-
isations to the extent that people who are not together physically nevertheless have
to make decisions together that may affect work safety.
1.5 Comparison of Two Approaches to Measuring

Safety Climate
Kines et al. (2011) developed the Nordic Safety Climate Questionnaire

(NOSACQ-50) for measuring safety climate, covering dimensions based on
organisational and safety climate, psychological theory, previous empirical
research, and empirical results acquired through developing the measure. The
NOSACQ-50 measures seven safety climate dimensions, including respondents’
perceptions of both the management level (management safety priority, commit-
ment, and competence; management safety empowerment; and management safety
justice) and the co-worker level (workers’ safety commitment; workers’ safety
priority and risk non-acceptance; safety communication, learning, and trust in

co-worker safety competence; and workers’ trust in the efficacy of safety systems).
The use of different dimensions allows diagnosis of the overall safety climate of an
organisation and also specific areas of concern. Kines et al. (2011) concluded that
the questionnaire should evaluate the safety climate of both the management and
workgroup policies separately based on previous studies, including that of
Dodobbeler and Beland (1991) who indicated that safety climate measures should
cover management and workgroup conditions. The NOSACQ-50 has been devel-
oped and tested in a number of employment sectors, including the construction
industry, the food industry, and the health care context (Kines et al., 2011).
Although the NOSACQ-50 provides a comprehensive assessment of relevant
manager and co-worker attitudes and behaviours related to safety in the workplace,
a problem associated with this comprehensive assessment is the length of the
survey; it includes 50 items and requires considerable time to be completed. This
makes it difficult to include in a survey of safety-related issues that may be designed
to assess the relationship between the safety climate and measures of other indi-
vidual or organisational factors that may also take some time to complete.
In the current study, the NOSACQ-50 safety climate measure was compared
with Hall, Dollard, and Coward’s (2010) Psychosocial Safety Climate (PSC-12)
scale. The PSC-12 reflects the “communicated management position about the
value and priority of worker psychological health and safety in the workplace”
(Hall et al., 2010, p. 356). The PSC-12 scale includes 12 items measuring the factor
of Psychosocial Safety Climate (PSC) and includes only management level items.
This is because Hall et al. (2010) consider PSC to be largely driven by management
values and beliefs, and a “top down” phenomenon set by the organisation’s man-
agement. The PSC-12 has been developed and tested with a wide range of occu-
pations, including managers, associate professionals, tradespersons, clerical or sales
workers, and labourers (Hall et al., 2010).
The PSC-12 scale provides a much shorter and hence a more user acceptable
measure of safety climate; however, the shortness is obtained by not having any
scales related to co-workers on the assumption that their attitudes and behaviours
add no further safety climate information. The scale also has no subdomains and
only provides an overall measure of PSC, which limits its use for identifying
particular areas of safety concern. Another problem with assessing particular areas
of safety concern is that some of the questions in the scale cover more than one
issue and are quite complex. Hall et al. (2010) made note of this concern and
indicated that the scale had a Flesch-Kincaid Grade level of 10.5, which is higher
than the recommended score of 7.0–8.0 levels that an average eighth-grader student
could understand. This makes it difficult to include in a survey designed to measure
the safety climate of organisations with higher levels of international workers, or
workers with lower levels of education.
In a previous study carried out by the authors of this study, results obtained
through multiple regression analysis indicated that the co-worker section of the
NOSCAQ-50 did add variance above that of management for burnout scores of
Disability Support Workers who worked in a human service organisation providing
residential care for people with disabilities in community-based houses. Disability

Support Workers generally work in small groups in dispersed settings with limited
direct supervision from supervisors or managers and as such, co-worker safety
attitudes and behaviours are likely to be important for work safety in an organi-
sation with this structure. The current study aimed to investigate whether this
finding would be replicated with a more typical organisational structure in which
workers are in closer contact with supervisors or management.
1.6 Current Study
The aim of this study was to investigate the concept of Workplace Safety Climate in
terms of which of its key components affect aspects of work-related stress. In
particular, the study aimed to determine whether co-worker attitudes and beha-
viours contribute additional explanatory variance to the association with key
work-related stress indicators or whether, as suggested in some studies, manage-
ment attitudes and behaviours either wholly or primarily determine associations of
this kind. Giving participants both the NOSACQ-50 and PSC-12 scales would test
this association and determine which measure performed best.
Participants in this study consisted of hospitality workers from a large enter-
tainment and hospitality organisation. This organisation was chosen to test the two
safety climate questionnaires as workers in the organisation are required to interact
with co-workers and with customers but also with supervisors and managers. If, as
assumed by the NOSACQ-50, both manager and co-worker safety climate
dimensions are important predictors of safety-related outcomes such as workplace
stress, then it would be expected that co-worker dimensions would contribute
additional variance to that provided by the manager dimensions. However, if as
assumed by the PSC-12, manager influenced safety climate is all that is important in
determining such outcomes, then the co-worker dimensions would not contribute
additional variance, and the PSC-12 should explain the same amount of variance as
all the dimensions of the NOSACQ-50. It was hypothesised that the co-worker
safety climate dimensions in the NOSACQ-50 would add additional predictive
capacity above that of the management dimensions, and as such provide a more
comprehensive understanding of the factors influencing safety climate than would
the PSC-12.
In the current study, the safety climate related outcome measure used was the
Copenhagen Burnout Inventory (CBI). The CBI assesses personal, work-related
and customer-related burnout (Kristensen, Borritz, Villadsen, & Christensen, 2005).
It defines burnout as the “attribution of [physical and emotional] fatigue and
exhaustion to specific domains or spheres in the person’s life” (Kristensen et al.,
2005, p. 197). As such, the CBI is organised into three distinct types of burnout.
The first is personal burnout, which refers to the degree of exhaustion experienced
by individuals in a generic sense. Work-related burnout refers to the degree of
physical and psychological exhaustion perceived by individuals as related to their
work. Lastly, customer-related burnout refers to the degree of physical and psy-
chological exhaustion perceived by an individual as related to their work with
customers. It was hypothesised that safety climate, as measured by the
NOSACQ-50 and PSC-12, would be correlated with this measure of health and
well-being, including personal burnout, work-related burnout, and customer-related
burnout.
2 Method
2.1 Participants
Participants were 111 employees from a large entertainment and hospitality

organisation. Of the 111 employees, there were 58.6% females and 41.4% males.
The participant mean age was 35.6 years (SD = 10.84). Mean employment length
was 7.29 years (SD = 8.43). The percentage of participants born in Australia was
79.3%. Most participants worked full-time (48.6%) with others working part-time
(30.6%) or casually (19.8%). Median hours worked per fortnight were 60
(SD = 23.16). One third of participants had University degrees (33.3%), 28.8% had
certificates, 27% had graduated from secondary school, and 10.8% had diplomas.
2.2 Measures
Responses for this investigation were drawn from a larger questionnaire used by the
authors in an ongoing safety-related study of Disability Support Workers. The parts
of that questionnaire used in the present study included demographics (e.g. age,
gender, country of birth), employment characteristics (e.g. length of service, hours
worked per fortnight), burnout (the CBI) and work safety climate perceptions (the
NOSACQ-50). An additional work safety climate measure used in the present study
but not in the ongoing Disability Support Worker study was the PSC-12.
Additionally, although not provided in the published versions of these question-
naires, participants were provided with opportunities to record qualitative com-
ments to elaborate on or qualify responses in each of them. In the following
sections, the structure and properties of these measures are described.
2.2.1 Burnout
Burnout was assessed using the Copenhagen Burnout Inventory (CBI; Kristensen,
Borritz, Villadsen, & Christensen, 2005). The CBI comprises three subscales.
Central to the CBI is the association between burnout and physical and psycho-
logical fatigue and exhaustion. CBI subscale structure reflects attribution of
exhaustion to specific life domains. The personal burnout subscale (six items)
assesses exhaustion regardless of occupational status (e.g. “How often do you feel
tired?”). The work-related burnout (seven items) and customer-related burnout (six
items) subscales measure the extent exhaustion is perceived as related to work or
customers, respectively (e.g. “Is your work emotionally exhausting?” and “Do you
find it hard to work with customers?”). Item responses are rated on a 5-point scale
(0 = never/almost never or to a very low degree, 25 = not often or to a low degree,
50 = sometimes or somewhat, 75 = often or to a high degree and 100 = always or
to a very high degree). Higher scores represent more symptoms of burnout, with the
mean of 50 or greater considered as indicating burnout. The normative sample
comprised 1914 human service sector workers.
2.2.2 Psychosocial Safety Climate
PSC was measured using the Psychosocial Safety Climate (PSC-12) Scale (Hall,
Dollard, & Coward, 2010). The PSC-12 comprises 12 questions all phrased posi-
tively. The PSC-12 does not have any subscales and includes items such as “In my
workplace senior management acts quickly to correct problems/issues that affect
employees’ psychological health” and “In my organisation, the prevention of stress
involves all levels of the organisation”. The PSC-12 uses a 5-point scale of strongly
disagree, disagree, neither agree or disagree, agree, and strongly agree. Higher
scores represent a better psychosocial safety climate.
2.2.3 Safety Climate
Safety climate was measured using the Nordic Occupational Safety Climate
Questionnaire (NOSACQ-50; Kines et al., 2011) which includes 50 items phrased
positively or negatively across seven climate dimensions. Three scales concern the
perceptions of safety at the level of management and four scales relate to the
work-unit level. The three management level dimensions include Management
safety priority, commitment and competence (e.g. “Management encourages
employees here to work in accordance with safety rules—even when the work
schedule is tight”), Management safety empowerment (e.g. “Management strives to
design safety routines that are meaningful and actually work”), and Management
safety justice (e.g. “Management collects accurate information in accident inves-
tigations”). The four work-unit level dimensions include Workers’ safety com-
mitment (e.g. “We who work here try hard together to achieve a high level of
safety”), Workers’ safety priority and risk non-acceptance (e.g. “We who work here
regard risks as unavoidable”), Peer safety communication, learning, and trust in
co-workers’ safety competence (e.g. “We who work here try to find a solution if
someone points out a safety problem”), and Workers’ trust in the efficacy of safety
systems (e.g. “We who work here consider that a good safety representative plays
an important role in preventing accidents”). Items are rated on a 4-point scale of
strongly disagree, disagree, agree, and strongly agree. Scores for these dimensions
are obtained by summing items (with reverse scoring for negatively worded items)
and dividing by the number of items in the dimension to provide an average score
that can be considered in terms of the above criteria. The normative sample con-
sisted of 3853 health care sector workers. Mean scores of 3.30 or more out of 4
indicate a good safety climate for maintaining and continuing safety development;
3.00–3.30 reflect a fairly good safety with a slight need for improvement indicated;
2.70–2.99 suggest a fairly low perceived safety with need for improvement; and
scores below 2.70 indicate a low safety climate with a great need for improvement.
2.3 Procedures
A pilot study was conducted with the Health and Safety Specialist and two
employees (two females, one male) from the entertainment and hospitality organ-
isation. The results indicated that the questionnaires were easy to understand and all
questions were considered appropriate. The time required to complete the survey
was approximately 20 minutes. At the request of the pilot trial participants, a time
bar was added to the survey to allow participants to know how much of the
questionnaire they have left to complete. One other modification was the addition of
a question before the customer-related burnout questions which asked, “How often
in your work are you required to interact with customers?” This question was added
because some employees never work with customers. Those answering that they
never interact with customers were instructed not to answer the customer burnout
questions.
The final procedure involved information of the project and a web link to the
survey being distributed to all employees by email by the Health and Safety Specialist
in the Human Resources department at the organisation. Participants were informed
that participation was voluntary that their responses would be confidential and only
group results would be reported. They were also informed that participants would be
included in a draw for a gift voucher to encourage participation. Completing and
submitting the survey was taken as consent to participate in the research.
3 Results
3.1 Comparisons Between the Current Sample

and Norm Groups
It can be seen in Fig. 1 that all mean dimension scores for the entertainment and
hospitality organisation were in the fairly good safety climate range and that for
some dimensions they were close to the good safety climate range. It can also be
3.5
3.4 Norms Hospitality Organisation Good safety climate
3.3
Fairly good safety
3.2 climate (needs slight
improvement)
3.1
Mean
3
Fairly low safety
2.9 climate (in need of
improvement)
2.8
2.7 Low safety climate
(great need for
2.6 improvement)
2.5
Management Management Management Worker safety Workers safety Peer safety Workers trust in
safety priority safety safety justice commitment priority and risk communication, the efficacy of
and ability empowerment non-acceptance learning, and safety systems
trust in safety
ability
NOSACQ-50 Safety Climate Dimensions
Fig. 1 NOSACQ-50 safety climate dimension mean scores in comparison to the norms
seen that these mean scores were higher for all the management dimensions than for
the norm group and that the pattern of scores was very similar between the
co-worker dimensions and the norm groups. The two lowest dimension scores for
the organisation also correspond to the two lowest domain scores for the norms;
namely, for management safety empowerment and for workers’ safety priority and
risk non-acceptance.
Table 1 provides the descriptive statistics for the NOSACQ-50, PSC-12 and CBI
measures. It can be seen that both measures possessed adequate reliability for
subsequent analyses with alphas ranging from 0.72 to 0.96. Table 1 also shows the
t-values derived from comparisons with the normative samples. Compared to the
NOSACQ-50 normative samples the employees of the large entertainment and
hospitality organisation reported significantly higher perceived safety climate for all
three of the management dimensions but not for any of the four co-worker
dimensions.
As indicated in Table 1, personal burnout levels of the current sample were
significantly higher than the norms. Work-related burnout was slightly higher and
customer-related burnout was slightly lower than the norms but neither difference
was significant. However, the current sample was consistent with the normative
data in that personal burnout was the highest and customer-related burnout was the
lowest amongst the three types of burnout.
3.2 Safety Climate, Psychosocial Safety Climate

and Worker Health and Well-being
Table 2 provides correlations between measures. All correlations were significant

and consistent with predictions. Personal, work-related and customer-related
Table 1 Descriptive and reliability statistics for the NOSACQ-50, PSC-12 and CBI for
employees of the large entertainment and hospitality organisation (N = 111) and comparisons to
normative samples
Hospitality sample Normative sample
Scales Range Mean SD a CI Mean SD t value
NOSACQ-50
Management safety 1.78–4.00 3.25 0.47 0.87 0.83–0.91 2.85 0.58 0.40***
priority and ability
Management safety 2.00–4.00 3.09 0.50 0.85 0.81–0.89 2.83 0.55 0.26***
empowerment
Management safety 1.93–4.00 3.25 0.50 0.90 0.86–0.93 3.12 0.50 0.13**
justice
Worker safety 2.33–4.00 3.28 0.43 0.72 0.63–0.80 3.31 0.47 −0.03
commitment
Workers safety 1.86–4.00 3.12 0.44 0.75 0.68–0.82 3.09 0.51 0.03
priority and risk
non-acceptance
Peer safety 2.13–4.00 3.23 0.44 0.88 0.84–0.91 3.20 0.44 0.03
communication,
learning, and trust
in safety ability
Workers trust in the 1.71–4.00 3.30 0.46 0.88 0.84–0.91 3.36 0.44 −0.06
efficacy of safety
systems
PSC-12 1.17–5.00 3.33 0.92 0.96 0.95–0.97
Copenhagen burnout inventory
Personal burnout 0–91.67 43.54 20.01 0.90 0.86–0.92 35.9 16.5 7.64***
Work-related 0–96.43 36.87 21.66 0.91 0.89–0.94 33.0 17.7 3.87
burnout
Customer-related 0–91.67 26.98 22.84 0.91 0.88–0.94 30.9 17.6 −3.92
burnout
**p < 0.01 ***p < 0.001
Note a = Cronbach’s alpha; CI = 95% confidence intervals; df = 110
burnout were all significantly correlated with each other, consistent with norm
group correlations between the measures, meaning increased personal burnout is
associated with increased work-related burnout and customer-related burnout and
vice versa.
Correlations between the PSC-12 scale and the NOSACQ-50 dimensions with
the measures of burnout were all significant indicating that higher scores on the
workplace safety climate measures were associated with lower levels of personal,
work-related and customer-related burnout. It can also be seen in Table 2 that the
correlations between the NOSACQ-50 and the personal burnout measures were
generally similar with the equivalent correlations for the PSC-12, but they
were lower in all cases for work-related burnout and higher in all cases for the
Table 2 Correlation matrix for the Copenhagen Burnout Inventory, PSC-12, and NOSACQ-50
scores
Scales 1 2 3 4
1. CBI personal burnout –
2. CBI work-related burnout 0.73*** –
3.CBI customer-related burnout 0.60*** 0.56*** –
4. PSC-12 scale −0.46*** −0.47*** −0.39*** –
5. NOSACQ management safety priority and −0.46*** −0.38*** −0.54*** 0.54***
ability
6. NOSACQ management safety empowerment −0.44*** −0.41*** −0.52*** 0.52***
7. NOSACQ management safety justice −0.44*** −0.35*** −0.47*** 0.50***
8. NOSACQ worker safety commitment −0.33*** −0.25** −0.42*** 0.39***
9. NOSACQ workers safety priority and risk −0.46*** −0.32** −0.51*** 0.37***
non-acceptance
10. NOSACQ peer safety communication, −0.42*** −0.36*** −0.44*** 0.57***
learning, and trust in safety ability
11. NOSACQ workers trust in the efficacy of −0.35*** −0.27** −0.47*** 0.38***
safety systems
**p < 0.01 ***p < 0.001
customer-related burnout. These results suggest that the two safety climate mea-
sures may predict different aspects of burnout.
With respect to the NOSACQ-50, significant negative correlations were obtained
with all burnout measures, although the magnitude was generally lower for
work-related burnout, particularly with workers’ safety commitment, workers’
safety priority and risk non-acceptance, and workers’ trust in the efficacy of safety
systems. Findings suggest burnout was associated with less favourable safety cli-
mate perceptions, although it is possible the lower ratings on some of the co-worker
safety climate dimensions may mean that managers play a larger role in
work-related burnout than co-workers.
Comparing the correlations between the NOSACQ-50 and the PSC-12, it can be
seen, as expected, that the PSC-12—which measures management-related safety—
correlated more highly with the management dimensions than with three of the four
co-workers dimensions of the NOSACQ-50.
3.3 Safety Climate Measurement
Table 3 provides correlations between each of the dimensions in the NOSCAC-50.

Correlations between the management dimensions were all very high and signifi-
cant, ranging from 0.76 to 0.81. This suggests that worker perceptions of man-
agement dimensions were largely measuring very similar sources of variance.
Table 3 Correlation matrix the NOSACQ-50 dimension scores

NOSACQ-50 dimensions 1 2 3 4 5 6
1. Management safety priority –
and ability
2. Management safety 0.79*** –
empowerment
3. Management safety justice 0.81*** 0.76*** –
4. Workers’ safety 0.68*** 0.63*** 0.66*** –
commitment
5. Workers’ safety priority and 0.74*** 0.70*** 0.69*** 0.62*** –
risk non-acceptance
6. Peer safety communication, 0.71*** 0.73*** 0.74*** 0.73*** 0.70*** –
learning, and trust in safety
ability
7. Workers’ trust in efficacy of 0.59*** 0.59*** 0.60*** 0.69*** 0.69*** 0.73***
safety systems
***p < 0.001
In contrast, there was larger variability in the significant correlations between the
co-worker dimensions, ranging from 0.62 to 0.73, suggesting that workers were
more variable in their perceptions of safety amongst their co-workers. This could
reflect greater awareness of the part of workers concerning their own attitudes and
behaviours towards different aspects of safety. These results suggest that the four
co-worker dimensions were important in the NOSCAQ-50 as each dimension was
adding additional information to the questionnaire.
To understand the importance of measuring both manager and co-worker safety
attitudes and behaviours, multiple regression analyses were performed to establish
the extent to which the co-worker dimensions were important predictors of health
and well-being for the workers. As can be seen in Table 4, the variance explained in
the management dimensions (step 1) ranged from 17% for work-related burnout to
31% for customer-related burnout. Management safety priority and ability
demonstrated a significant main effect for customer-related burnout but not personal
or work-related burnout. Management safety empowerment and management safety
justice did not have significant main effects with any of the well-being measures.
The addition of the co-worker safety climate dimensions at step 2 explained 1–3%
of additional variance, with no significant R2 changes and no significant effects
demonstrated. These regression results show that co-worker safety attitudes and
behaviours, as assessed by workers, were not important additional predictors of
well-being for employees in the large entertainment and hospitality organisation,
suggesting that the measurement of safety climate for occupational groups such as
these only requires consideration of management attitudes and behaviours.
Further multiple regression analyses were performed to establish the extent to
which the co-worker dimensions were important predictors for being assessed as
Table 4 Results of multiple regression analysis (unstandardised coefficients) to test the extent that
NOSACQ-50 management and co-worker dimension scores predicted worker well-being (using
the CBI)
Variables Work-related Personal Customer-related
burnout burnout burnout
Step 1 R2 0.17*** 0.23*** 0.31***
Management safety priority and ability −0.72 −9.97 −19.27*
Management safety empowerment −11.46 −6.71 −8.76
Management safety justice 0.75 −3.73 3.97
Step 2 R2/Δ R2 0.18**/0.01 0.24***/ 0.34***/0.03
0.01
Management safety priority and ability −9.60 −7.47 −17.72
Management safety justice 2.06 −2.07 4.80
Workers’ safety commitment 4.99 2.30 −1.84
Workers’ safety priority and risk 4.12 −7.01 −3.26
non-acceptance
Peer safety communication, learning and −9.53 −4.15 8.50
trust in co-worker safety competence
Workers’ trust in the efficacy of safety 0.81 0.42 −10.36
systems
*p < 0.05 **p < 0.01 ***p < 0.001
burnt out or not (i.e. obtaining scores of 50 or above or below 50, respectively,
on CBI measures). Forty-seven workers that were considered to be experiencing
personal burnout, 32 were considered to be experiencing work-related burnout and
13 were considered to be experiencing customer-related burnout. As can be seen in
Table 5, the variance explained in the management dimensions (step 1) ranged from
6% for work-related burnout to 27% for customer-related burnout. No main effects
were demonstrated with any of the well-being measures. The addition of the
co-worker safety climate dimensions for burnout at step 2 explained 2–20% of
additional variance, with significant R2 changes for customer-related burnout.
Workers safety commitment, workers’ safety priority and risk non-acceptance, peer
safety communication and workers’ trust in the efficacy of safety systems were
significant predictors of experiencing customer-related burnout in addition to the
variance explained by the management dimensions. These regression results show
that co-worker safety attitudes and behaviours are important predictors of whether
workers are experiencing customer-related burnout in addition to what is predicted
by management dimensions, suggesting that the prediction of workers at risk of
customer-related burnout requires consideration of co-worker safety attitudes and
behaviours as well as management safety attitudes and behaviours.
Table 5 Results of multiple regression analysis (unstandardised coefficients) to test the extent that
NOSACQ-50 management and worker dimension scores predicted worker well-being for workers
considered to be experiencing burn out (using the CBI)
Variables Work-related Personal Customer-related
burnout burnout burnout
Step 1 R2 0.06 0.16*** 0.27**
Management safety justice 0.00 −0.03 −0.20
Step 2 R2/Δ R2 0.08/0.03 0.18**/ 0.47**/0.20*
0.02
Management safety justice 0.05 −0.03 −15
Workers’ safety commitment −0.02 0.19 −0.44*
Workers’ safety priority and risk 0.14 −0.07 0.43*
non-acceptance
Peer safety communication, learning, and −0.29 −0.14 0.60*
trust in co-worker safety competence
Workers’ trust in the efficacy of safety 0.15 0.05 −0.37*
systems
*p < 0.05 **p < 0.01 ***p < 0.001
4 Discussion
The aim of this study was to investigate the concept of Workplace Safety Climate in
terms of its key components affecting aspects of work-related safety. This study
focused, in particular, on the importance of co-worker attitudes and behaviours in
explaining additional variance with key work-related indicators above that of
management attitudes and behaviours. It was hypothesised that (a) safety climate, as
measured by the NOSACQ-50 and PSC-12, would be correlated with measures of
health and well-being, as measured by the CBI and (b) that the co-worker safety
climate dimensions in the NOSACQ-50 would add additional predictive capacity
above that of the management dimensions for workers in the large entertainment
and hospitality organisation, and as such provide a more comprehensive under-
standing of the factors influencing safety climate than would the PSC-12.
4.1 Safety Climate, Psychosocial Safety Climate and Worker

Health and Well-being
The hypothesis that safety climate, as measured by the NOSACQ-50 and PSC-12,
would be correlated with measures of health and well-being was supported.
This is consistent with the findings of Oliver et al. (2002) and Siu et al. (2004), both
of whom reported a relationship between a positive safety climate and reduced
workplace stress. The PSC-12 was significantly and negatively correlated with
personal burnout, work-related burnout, and customer-related burnout, indicating
that the higher the perceived PSC the lower the levels of worker burnout.
Customer-related burnout had the weakest correlation with PSC. As PSC reflects
managements’ behaviours and attitudes to working safely, it is understandable that
customer-related burnout would be the lowest as management is less involved in
relations between workers and customers. Nonetheless, there were aspects of work
that respondents reported in their qualitative comments that indicated management
behaviour did contribute to customer-related stress when working with customers,
for example when management made decisions in relation to changes to promo-
tional offers made to customers without consulting staff. The NOSACQ-50 was
more strongly correlated with customer-related burnout than was the PSC-12,
suggesting the NOSACQ-50 identified elements of workplace safety attitudes and
behaviours that were relevant to customer-related burnout that were not as effec-
tively measured by the PSC-12, for example, the extent to which co-workers
support each other in their work which includes their work with customers.
The NOSACQ-50 was significantly and negatively correlated with the three
areas of burnout. Personal and customer-related burnout were significantly corre-
lated with the seven dimensions. Though work-related burnout also correlated
significantly with all seven of the NOSACQ-50, the magnitude of the correlations
was higher for the three management dimensions and the peer safety communi-
cation, learning, and trust in safety ability dimension than was the case for the other
three co-worker dimensions. It is therefore possible that management behaviours
and attitudes had a larger effect on work-related stress than co-workers in this
organisation.
The three management dimensions of the NOSACQ-50 were very highly and
significantly correlated with each other. These results may accurately reflect a more
general attitude of management towards safety issues that influences all their
safety-related behaviours, but it may also reflect a more general positive or negative
bias on the part of workers towards all aspects of management and safety. In
contrast, there was greater variability in the correlations between the four co-worker
dimensions of the scale. This could reflect greater awareness of the part of workers
concerning their own attitudes and behaviours towards different aspects of safety.
Future research would be needed to assess the extent to which the opposite effects
would occur with managers and supervisors completing the questionnaire; that is,
more variability amongst their scores for the management dimensions of which they
may be more aware than for the co-worker dimensions.
4.2 The Importance of Co-workers in Safety

Climate Measurement
The hypothesis that the co-worker safety climate dimensions in the NOSACQ-50
would add additional predictive capacity above that of the management dimensions
was not supported with respect to degree of personal, work or customer-related
burnout measured by the CBI for this organisation. This is inconsistent with the
results of a previous study conducted by the same authors involving Disability
Support Workers, in which the co-worker section of the NOSACQ-50 did add
variance above that of management dimensions on their own. These findings
suggests that the relative influence of safety-related attitudes and behaviours of
managers and co-workers may vary depending on the structure of the organisation
since Disability Support Workers work in community housing in more isolated
environments that are associated with less control and on-the-job support from
supervisors and managers. In contrast, the large entertainment and hospitality
organisation in the present study is an organisation in which workers are generally
working in close proximity to their managers on the same site. This finding may
support the use of the PSC-12 scale as an adequate measure of safety climate in
organisations with this type of organisational structure, which considers safety to be
a “top down” phenomenon determined by the organisation’s management. The
PSC-12 has been developed with a wide range of occupations; however, the
structures of the organisations that the scale was based on are not clear. If partic-
ipants worked for organisations with similar structures to that investigated in this
study where managers and co-workers are in close proximity, it would explain why
the scale has been developed to only focus on management’s attitudes and beha-
viours. Future research on safety climate measures needs to consider the type of
structure of the organisation being assessed, particularly with respect to the working
relationship between managers and workers.
The co-worker section of the NOSACQ-50 was found to add predictive capacity
above that of management for predicting which employees were considered as
experiencing customer-related burnout, defined as being at or above a score of 50
on the burnout scale. As such, the co-worker sections of the NOSACQ-50 were
found to be important in identifying factors that predicted whether employees are
likely to be above a stress level of particular concern in regards to customers. The
multiple regression results indicate that this could not be done with just the man-
agement dimensions of the scale, thus supporting the inclusion of the co-worker
dimensions in the NOSACQ-50 for measuring safety climate for practical purposes
even with an organisational structure in which managers and workers work together
in the same physical environment. This result suggests that the relative influence of
management and co-worker behaviours and attitudes with respect to work safety
also depends on the type of work safety measure used.
A limitation of this study was the use of one dependent variable. The CBI was
chosen because it is well established and there was evidence in the literature to
indicate that workplace safety climate is related to worker burnout. The use of other
dependent variables related to work safety would have provided a more compre-
hensive assessment on the importance of the co-worker sections of the
NOSCAQ-50. However, results from the three measures of burnout provided by the
CBI did suggest that co-worker safety climate factors may have more of less
influence depending on the type of work safety measure being predicted. The use of
the CBI as the only dependent variable in this study was partly determined by the
fact that with the two measures of safety climate the survey was already a rea-
sonable size for workers to complete.
4.3 Future Research
More research is needed to determine whether measures of work safety climate

should include both management and co-worker behaviours and attitudes in relation
to work safety. Important issues to consider in such research include consideration
of different types of organisations, such as human service and manufacturing
organisations and, in particular, organisations having different structural relation-
ships between managers and workers. There is also a need to investigate the extent
to which management and co-worker work safety climate factors relate to different
types of work safety variables, and to different ways of measuring those variables.
In the present study, co-worker safety climate factors did not add variance in
relation to the degree of customer burnout but did add variance to what may be a
more important measure for practical purposes, and that is whether workers were
considered as experiencing customer burnout or not.
5 Conclusions
The results of this study did not find support for the hypothesis that the co-worker
safety climate dimensions would add predictive capacity above that of management
in a large entertainment and hospitality organisation. However, this study did find
that co-worker safety climate dimensions could add predictive capacity above that
of management for whether workers were assessed as burnt out or not according to
a criterion used for the CBI. This could be an important practical outcome of using
both the management and co-worker safety climate dimensions to the extent that
workers assessed as burnt out are found to be more likely to be involved in negative
safety outcomes such as accidents and stress claims.
A major difference between the current study and a previous study using two of
the same safety climate and burnout measures was the structure of the organisations
in which the research was conducted. In the large entertainment and hospitality
organisation in this study the workers were generally in close proximity to their
managers on the same site and the relative influence of co-worker safety climate
dimensions was less than in another human service organisation involving work in
community housing in more isolated environments, where there was less control
and on-the-job support from supervisors and managers. These findings suggest that
the relative influence of safety-related attitudes and behaviours of managers and
co-workers may vary depending on the structure of the organisation.
An important driver for understanding the relative influence of manager and
co-worker dimensions for the structure of the concept of work safety climate is the
changing nature of work over the last decade that includes more human service
organisations with co-workers working more directly with each other in teams and
with customers. This trend is likely to continue to increase in the future, with health
care and social assistance projected to be the largest areas of employment growth.
Accordingly, there is a need to determine the structure of work safety climate in
terms of its important dimensions if work safety climate measures are to be used
most effectively and efficiently to maximise work safety in organisations.
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Interaction of Psychological Contract
Violation and Emotional Labour:
Recovery of Organizational Trust and Job
Satisfaction
Noriko Okabe
Abstract This study investigates the hypotheses that Asian flight attendants’
emotional labour aspects moderate the decreasing propensity of organizational trust
and satisfaction in circumstances where the Psychological Contract Violation
(PCV) is perceived. A questionnaire survey was administrated to 413 Asian flight
attendants. A 5-point Liker-type scale was employed to assess the aspects of PCV
and emotional labour. Approximately 500 questionnaires were randomly distributed
to flight attendants at an Asian airport, confidentiality of the data was explained, and
then they were asked to complete the questionnaire. The research findings, mean,
S.D., Cronbach’s alpha and correlations for variables used in this study are shown.
Then, multiple hierarchical regression is used to test the hypotheses. The results
show that some emotional aspects (emotional delivery and surface acting) signifi-
cantly recover the decreasing propensity of organizational trust and satisfaction in
the stressful circumstances where emotional labour perceives PCV.

Keywords Psychological Contract Violation Emotional labour

Asian airline Flight attendants Trust Satisfaction
1 Introduction
1.1 Research Background
1.1.1 Competitive Airline Industry and Emotional Labour
Downsizing, cost reduction, layoffs and early retirement programs are recent trends
in the airline industry. Low-cost carrier (LCC) has brought a new business model in
the industry and it is very successful today. LCC accounted for 27% of the total
N. Okabe (&)
Graduate School of International Social Science, Department of Business Administration,
Yokohama National University, 79-4 Tokiwadai, Hodogaya-ku, Yokohama 240-8501, Japan
e-mail: okabenoriko-ts@ynu.jp

https://doi.org/10.1007/978-981-10-8034-0_14
240 N. Okabe
seats flown globally in 2016, up from 19% a decade ago (IATA Economics’
Chart of the week, 24 February 2017). Organizations, under pressure to make rapid
and constant changes, have had to alter employment relationships and the psy-
chological contract that underlie them (Robinson, 1996). Thus, traditional airlines
have had to reduce costs and the fact might gradually lead to alter operations and
work practices and employment relationships. Moreover, today’s aviation industry
is a 24 hours a day/7 days a week operation that produces a variety of challenges
for flight attendants, including extended duty periods, highly variable schedules,
frequent time zone changes and increased passenger load (Avers, King, Nesthus,
Thomas and Banks, 2009). Thus, the workplace became more complex and
stressful for employees.
Furthermore, as information technology has advanced, certain operational jobs
were substituted by self-serving and automation machines. Under such an envi-
ronment and strong pressure to be competitive, many companies have been obliged
to alter their organizational structure and human resource relationships. The tradi-
tional contract of long-term job security in return for hard work and loyalty may no
longer be valid (Sims, 1994), and employees and employer alike are now recon-
sidering their mutual obligation (Robinson, 1996).
Customer service employees are indispensable for many organizations, partic-
ularly airlines, as they serve as a fundamental type of interface connecting the
organization with customers. The importance of customer service employees’
emotions, which is also referred to as “emotional labour”, has long been part of
organizational behaviour since Hochschild published The Managed Heart in 1983.
Hochschild (1983) observed the flight attendants recruiting, training and job;
moreover, he interviewed and described their management process of emotions in
the service. Emotional labour refers to the process by which workers are expected to
manage their feelings in accordance with organizationally defined rules and
guidelines (Wharton, 2009). Emotional labour is potentially good because no
customer wants to deal with a surly waitress, a crabby bank clerk or a flight
attendant who avoids eye contact to avoid getting a request (Hochschild, 1983).
1.1.2 Employees and Psychological Contract Violation (PCV)
In previous studies on the Psychological Contract Violation (PCV), researchers

have found that most employees have experienced some measure of PCV by their
employers. For example, Robinson and Rousseau (1994) reported that 54.8% of
MBA graduates are perceived PCV violators, while Conway and Briner (2002)
suggested an even higher percentage of violation in their study using a daily diary
method with 69% of the participants who are managers from the bank, reporting at
least one broken promise over the 10-day period. Thus, PCV is relatively common.
In addition, PCV is associated with a variety of negative outcomes (Turnley &
Feldman, 2000), such as decreasing propensities of trust, job satisfaction, job
performance, increasing intention to quit, neglect of in-role job duties and orga-
nizational citizenship behaviours. Though previous research has shown that for
Interaction of Psychological Contract Violation … 241
PCV with negative outcomes, little work has focused on how individual factors
alleviate such a negative impact of PCV on outcomes in the complex and stressful
workplace.
1.1.3 Purpose of the Present Study
The present study focuses on how emotional labour recovers organizational trust
and job satisfaction when employees perceive PCV. The fieldwork was practiced
and investigated flight attendants working for an Asian airline, in which organi-
zational stress seems to be occurring because of intensified competition worldwide
and employees may perceive PCV. Hypotheses were tested whether emotional
labour aspects moderate the propensity of reducing trust towards the employer and
job satisfaction. This study focused on three emotional variables (affective delivery,
surface acting and deep acting) and examined emotional variables to moderate the
negative impact of PCV on trust towards employers as well as job satisfaction.
1.2 Literature Review
1.2.1 Psychological Contract Violation (PCV)
Contracts
Organizations and employees are typically connected through a contract, which can
be considered a type of interface. Contracts are a ubiquitous and necessary feature
of the organization and serve to bind together individuals and organizations, and
regulate their behaviour, making it possible to achieve the organizational goal
(Robinson, Kraatz, & Rousseau, 1994). Contracts are a necessary component of
employment relationships (Robinson et al., 1994).
Psychological Contracts
Psychological contracts refer to employees’ perceptions of what they owe to their

employers and what their employers owe to them (Robinson, 1996). The psycho-
logical contract held by an employee consists of beliefs about the reciprocal obli-
gation between that employee and his organization (Morrison & Robinson, 1997).
Thus, psychological contracts are individual beliefs in a reciprocal obligation
between the individual and the organization (Rousseau, 1989).
242 N. Okabe
Feeling of Anger: Psychological Contract Violation (PCV)
The psychological contract is unwritten, and employees and employers may hold a
different view of the content of the psychological contract (Coyle-Shapiro & Kessler,
2000). PCV refers to the feelings of anger and betrayal that are often experienced
when an employee believes that the organization has failed to fulfil one or more
psychological contract obligations (Morrison & Robinson, 1997). The outcomes
arise from the perception of PCV include reduced organizational trust, reduced job
satisfaction, decreased feeling of obligation to one’s employer, reduced willingness
to participate in organizational citizenship behaviours, decreased work performance
and increased turnover (e.g., Robinson et al., 1994; Robinson & Morrison, 1995).
1.2.2 Emotional Labour
Emotional Regulation
Emotional regulation provides a very useful guiding framework for emotional

labour. Emotional regulation is defined as “the processes by which individuals
influence which emotions they have, when they have them, and how they experi-
ence and express these emotions” (Gross, 1998). The emotional regulation requires
the employees to display the organizationally desired emotion (Zapf, Vogt, Seifert,
Mertini, & Isic, 1999) and induce or suppress feelings to sustain the outward
countenance that produces the proper state of mind in others (Hockschild, 1983).
For example, flight attendants are expected to act cheerful and friendly (Ashforth &
Humphrey, 1993) and must put on a smile dealing with customers, because it is part
of the job (Barsade & Gibson, 2007).
Display Rule
Emotional display for organizational purposes has been referred to as “display

rules” (Ekman & Friesen, 1975). Display rules are the standards of behaviour that
indicate not only which emotions are appropriate in a given situation, but also how
those emotions should be conveyed or publicly expressed (Ekman, 1973). For
example, flight attendants are encouraged to smile, while lawyers use an aggressive
and angry tone to encourage compliance in adversaries (Pierce, 1996).
Affective Delivery
Affective delivery, or expressing positive emotions in service interactions, promotes

customer satisfaction (Grandey, 2003). “Employee affective delivery” refers to an
employee’s “act of expressing socially desired emotions during service transaction”
(Ashforth & Tomiuk, 2000) and an affective service delivery is perceived as
friendly and warm, which is related to desirable outcomes (Bettencourt, Gwinner, &
Meuter, 2001). The affective tone of service encounters is an important aspect of
service quality (Parasuraman, Zeithaml, & Berry, 1985). A key factor of good
affective delivery is the perceived authenticity of affective display (Ashforth &
Tomiuk, 2000).
Emotional Strategies
Surface Acting. Engaging in surface acting, or antecedent-focused emotion regu-

lation, is desirable for organizations so that customers always see cheerful
expressions, even when employees may feel differently (Rafaeli & Sutton, 1987).
Surface acting is an emotional strategy in which employees modify their beha-
vioural displays without changing their inner feelings and employees conform to
the rules to keep their job, not to help the customer or organization (Grandey,
2003). Surface acting requires effortful suppression of genuine emotion and
expression of the appropriate emotion (Johnson & Spector, 2007); thus, engaging in
surface acting entails experiencing emotional dissonance or the tension felt when
expressions and feelings diverge (Hochchild, 1983).
Deep acting. Engaging in deep acting through reappraisal or self-talk has been
called a “good faith” type of emotional labour because it shows that the employee
has goodwill towards the organization (Rafaeli & Sutton, 1987). When engaging in
deep acting, an actor attempts to modify their feelings to match the required display
(Grandey, 2003). The intent, then, is to seem authentic to the audience. The actor
employing deep acting may try until he or she feels comfortable with the modified
feeling. These actors may then consider the perceived PCV as an authentic feeling.
1.3 Research Hypotheses
1.3.1 Outcome of PCV and Emotional Labour
Trust
PCV decreases trust (Robinson et al., 1994). Generally, when an employer breaks a
basic rule in the working relationship, it results in a decrease in trust. Trust influ-
ences coordination and control at both the institutional and interpersonal levels of
organizations. If an employer reneges on a promise, their integrity will be called
into question. A trust may also be lost in an employer’s motive because a violation
signal that an employer’s original motive to build and maintain a mutually bene-
ficial relationship has changed or was false to begin with (Robinson et al., 1994). It
is not the exception to the relationship of emotional labours. Therefore, I propose
the following hypothesis:
244 N. Okabe
Hypothesis 1 Psychological Contract Violation perceived by emotional labours is

negatively associated with trust towards their employer.
Job Satisfaction
Job satisfaction is a measure of the employee’s evaluation of the job and has often
been used as a proxy for employee well-being at work (Grandy, 2000). When
employees encounter a contract violation, their satisfaction with both the job and
the organization itself can decline (Robinson et al., 1994). It may become very
difficult for an employee to be motivated to perform, and obtain satisfaction from,
doing the job when the employee can no longer rely on the promised inducement
(Porter & Lawler, 1968). Therefore, I propose the following hypothesis:
Hypothesis 2 Psychological Contract Violation perceived by emotional labours is
negatively associated with their job satisfaction.
1.3.2 Interaction of PCV and Emotional Labour
Figure 1 shows the conceptual model of the moderating effects of emotional labour
on the relation between PCV and its consequences (trust and satisfaction). Figure 2
shows the conceptual model and hypotheses on the relation between PCV and its
consequences.
Recovery of Damaged Trust and Satisfaction by Affective Delivery
PCV decrease trust (Robinson et al., 1994) can undermine several trust basics
within a business relationship, such as beliefs regarding the other’s integrity,
motives and intentions, behavioural consistency, openness and discreetness
Fig. 1 Conceptual model of the moderating effects of emotional labour on the relation between
Psychological Contract Violation (PCV) and its consequences
Fig. 2 Hypotheses on the relations between PCV and its consequences
(Gabarro & Athos, 1976). On the other hand, more recent work has pointed that
trust also involves emotion (Schoorman, Mayer, & David, 2007) and some
exemplary work has been done to understand trust violation and repair (e.g.,
Lewicki & Bunker, 1996; Morrison & Robinson, 1997; Robinson, 1996).
Therefore, I propose the following hypothesis:
Hypothesis 3a Affective delivery practiced by emotional labours moderates the
negative relationship between PCV and their trust towards their employer.
Flight attendants, or emotional labours, are required to convey affective delivery,
which is expressing positive emotions (e.g., friendliness, warmth). The previous
empirical evidence indicated that employee affective delivery can influence cus-
tomer satisfaction (Tsai & Huang, 2002). I suggest that, though PCV has a negative
influence on satisfaction, such a negative influence may be moderated by working
practice with affective delivery. Therefore, I propose the following hypothesis:
Hypothesis 3b Affective delivery practiced by emotional labours moderates the
negative relationship between PCV and their job satisfaction.
Recovery of Damaged Trust and Satisfaction by Surface Acting
It is likely that surface acting occurs in response to work events rather than to
general rules (Grandey, Tam, & Brauburger, 2002). Though PCV has negative
influence on job satisfaction, such a negative influence may be moderated by
working practice with surface acting. Therefore, I propose the following
hypotheses:
Hypothesis 4a Surface acting practiced by emotional labours moderates the
negative relationships between PCV and their trust towards the employer.
Hypothesis 4b Surface acting practiced by emotional labours moderates the
negative relationships between PCV and their job satisfaction.
246 N. Okabe
Recovery of Damaged Trust and Satisfaction by Deep Acting
Engaging in deep acting through reappraisal or self-talk has been called a “good
faith” type of emotional labour because it shows that the employee has goodwill
towards the organization (Rafaeli & Sutton, 1987). When engaging in deep acting,
an actor attempts to modify their feelings to match the required display (Grandey,
2003). The intent, then, is to seem authentic to the audience. The actor employing
deep acting may try until he or she feels comfortable with the modified feeling.
These actors may then consider the perceived PCV as an authentic feeling.
Therefore, I propose the following hypotheses:
Hypothesis 5a Deep acting practiced by emotional labours recovers the negative
relationships between PCV and their trust towards the employer.
Hypothesis 5b Deep acting practiced by emotional labours recovers the negative
relationships between PCV and their job satisfaction.
2 Methods
2.1 Participants and Procedures
A questionnaire survey was administered to 413 flight attendants (78% female;

mean age ± standard deviation (S.D.) at the end of the study, 31 ± 1.12 years;
mean work experience, 10 ± 1.91 years) working for an Asian airline. I randomly
distributed approximately 500 questionnaires to flight attendants at an Asian airport
and explained the purpose of the survey and the anonymity and confidentiality of
the data. I then asked the participants to complete the questionnaire and return it to
the researcher by post. A total of 413 valid questionnaires was received, resulting in
a valid response rate of approximately 82.6%.
2.2 Measures
A 5-point Likert response scale was employed to assess the aspects of the psy-
chological contract, organizational stress and emotional labour, with 1 = strongly
disagree, 2 = disagree, 3 = neutral, 4 = agree and 5 = strongly agree, unless
otherwise noted. The items on each scale were presented in random order.
A measurement model of all multi-item measures was subjected to confirmatory
factor analysis to assess the convergent and discriminant validity of all constructs.
The mean, S.D., and reliability (Cronbach’s a) of each scale are presented in
Table 1.
Table 1 Descriptive statistics, reliability and intercorrelation
Mean S.D. 1 2 3 4 5 6 7 8 9 10 11 12 13 14
1 Gendera 0.78 0.42
2 Tenureb 2.78 1.91 0.05
3 Agec 3.08 1.12 0.01 0.80**
Variables in the psychological contract context
4 PCV 3.09 0.85 −0.07 0.04 −0.04 (0.83)
5 Trust 2.85 0.69 −0.04 0.05 0.12* −0.52** (0.85)
6 Satisfaction 3.66 0.72 −0.07 0.11* 0.11* −0.45** 0.56** (0.82)
** **
7 Careerism 2.60 0.75 −0.06 −0.20 −0.14 0.09 −0.09 −0.16** (0.84)
orientation
8 Job performance 4.26 0.55 0.02 −0.01 0.06 0.06 0.02 0.01 0.03 (0.81)
Variables in the organizational stress context
Interaction of Psychological Contract Violation …
9 Role conflict 3.64 0.68 0.03 0.01 −0.07 0.06 −0.09 −0.11* 0.07 −0.11* (0.79)
* *
10 Role amiguity 1.78 0.51 0.02 0.00 −0.03 0.06 −0.13 −0.11 0.07 −0.39** 0.26** (0.80)
* ** ** * ** **
11 Emotional 3.81 0.80 0.09 −0.16 −0.21 0.04 −0.06 −0.11 0.14 −0.17 0.57 0.29** (0.82)
exhaustion
Variables in the emotional labour context
12 Surface acting 4.17 0.63 −0.02 −0.10* −0.09 0.01 −0.01 −0.01 0.09 0.01 0.27** 0.08 0.30** (0.81)
13 Deep acting 3.83 0.79 0.09 −0.01 −0.15 0.05 0.02 0.03 0.07 0.18** 0.19** 0.03 0.36*** 0.21** (0.82)
** *
14 Affective delivery 4.53 0.17 −0.04 −0.08 −0.05 0.03 0.02 −0.01 0.09 0.18 −0.03 −0.12 −0.07 −0.02 0.07 (0.83)
*p < 0.05, **p < 0.01, ***p < 0.001. N = 413
a
Gender: coded as Male = 0, Female = 1
b
Job tenure: coded as 1 = 0–5 years, 2 = 6–10 years, 3 = 11–15 years, 4 = 16–20 years, 5 = 21–25 years, 6 = 26–30 years, 7 = more than 30 years
c
Age: coded as 1 = less than 20, 2 = 21–30, 3 = 31–40, 4 = 41–50, 5 = 51–60, 6 = more than 60
4
Reliability represent Cronbach’s alpha coefficients in parentheses along the diagonal
247
248 N. Okabe
2.2.1 Psychological Contract Violation (PCV) Scale (Robinson et al.,

1994)
Two items assessed PCV (a = 0.83). Respondents were asked to rate the following
items: “How well has your company fulfilled the promised obligations that they
owe you? (reverse score)” and “Has your company ever failed to meet an obligation
that was promised to you?”
2.2.2 Trust-Related Scale (Gabarro et al., 1976; Robison et al., 1994)
The following seven items assessed trust (a = 0.85): “I am not sure I fully trust my
employer (reverse score)”, “My employer is open and upfront with me”, “I believe
my employer has high integrity”, “In general, I believe my employer’s motives and
intentions are good”, “My employer is not always honest and truthful (reverse
score)”, “I do not think my employer treats me fairly (reverse score)” and “I can
expect my employer to treat me in a consistent and predictable fashion”.
2.2.3 Satisfaction (Robison et al., 1994)
Two items assessed employees’ satisfaction (a = 0.82) with both work and the
organization: “Working for the company is very satisfying to me” and “I am
satisfied with my job”.
2.2.4 Emotional Labour Scale (Brotheridge & Lee, 2003)
Surface acting was assessed using the following four items (a = 0.81): “How often
do you put on an act in order to deal with passengers in an appropriate way?”,
“How often do you fake a good mood when interacting with passengers?”, “How
often do you put on a ‘show’ or ‘performance’ when interacting with passengers?”
and “How often do you just pretend to have the emotions you need to display for
your job?”. I used the modified items to adapt the situation for flight attendants.
Deep acting was assessed using the following three items (a = 0.82): “How
often do you work hard to feel the emotions that you need to show to passengers?”,
“How often do you make an effort to actually feel the emotions that you need to
display towards passengers?” and “How often do you try to actually experience the
emotions you must show to passengers?”. I used the modified items to adapt the
situation for flight attendants.
2.2.5 Affective Delivery
Affective delivery (a = 0.83) was assessed using the following three items pre-
sented by McLelln, Schmit, Amundson and Blake (1998): “You look sincere when
dealing with passengers.”, “The passengers seem to like interacting with you.” and
“You show friendliness and warmth to most passengers.”. I used the modified items
to adapt for flight attendants.
2.2.6 Control Variables
Several additional variables were controlled in the analyses to eliminate alternative

explanations.
Careerism Orientation Scale (Robinson et al., 1994)
PCV may have different impacts on employees with different careerism motives.
The five items assessed careerism orientation (a = 0.84): “I took this job as a
stepping stone to a better job with another organization”, “I expect to work for a
variety of different organizations in my career”, “I do not expect to change orga-
nizations often in my career (reverse score)”, “There are many career opportunities I
expect to explore after I leave my present employer” and “I am really looking for an
organization to spend my entire career with (reverse score)”.
Self-estimated Job Performance
Self-estimated job performance was assessed using two items (a = 0.81) from
Williams and Anderson (1991) and one item based on a measure of service worker
performance presented by Brown, Mowen, Donavan and Licata (2002). These
items were slightly modified to adapt to the work characteristics of flight attendants:
To what extent do you agree or disagree with the following statement? “You
perform your tasks and roles that are expected of you”, “You adequately complete
all duties assigned to you” and “Your overall performance compared to all other
colleagues”. These items were modified to adapt to the work characteristics for
flight attendants.
Emotional Exhaustion
Emotional work could be stressful and sometimes lead the employees to emotional
exhaustion, even burnout and quit the job (Cordes & Dougherty, 1993; Hochschild,
1983). Emotional exhaustion (a = 0.82) was assessed using the following four
250 N. Okabe
items derived from the bases of emotional exhaustion identified by Pines and
Aronson (1988): “How often do you feel tired?”, “How often do you feel wiped
out?”, “How often do you feel run down?” and “How often do you feel exhausted at
your job?”.
Role Conflict (Rizzo et al. 1970)
The role theory indicates that role conflict is generated from the violation of two
classical principals; the chain-of-command principle and the unity-of-command
principle. Role conflict causes decreased individual satisfaction and decreased
organizational effectiveness (Kahn, Wolfe, Quinn, Snoek, & Rosenthal, 1964). Role
conflict was assessed using the following selected five items (a = 0.79) from Rizzo
et al. 1970): “How often do you have to do things that should be done differently?”,
“How often do you work under incompatible policies and guidelines?”, “How often
do you receive an assignment without the manpower to complete it?”, “How often do
you receive incompatible requests from two or more people?” and “How often do you
have to work under vague directives or orders?”.
Role Ambiguity (Rizzo et al. 1970)
Role ambiguity is generated from a lack of the necessary information available for a
given organizational position (Kahn et al., 1964). Role ambiguity was assessed
using the following selected five items (a = 0.80): To what extent do you agree or
disagree with the following statement?, “You feel certain about how much authority
you have (reverse score)”, “You have clear and planned goals and objectives for
your job (reverse score)”, “You know that you divided your time properly (reverse
score)”, “You know what your responsibilities are (reverse score)” and “You know
exactly what is expected of you (reverse score)”.
2.3 Data Analysis
The collected data were analysed with IBM SPSS Statistics 24. The descriptive
statistics, Cronbach’s alpha and intercorrelations were calculated. Then, hierarchical
moderated analyses were conducted to test the study hypotheses. The hypothesized
relationships were also examined using structural equation modelling with
IBM SPSS AMOS 24.
3 Results
3.1 Descriptive Statistics
Table 1 presents the means, standard deviations, correlations and Cronbach’s

reliability coefficients of the measures. All the scales demonstrated good internal
consistency reliability, where an alpha ranging from 0.70 to 0.95 is considered
acceptable (Tavakol & Dennick, 2011). The two dependent variables (trust and
satisfaction) were reasonably independent, with high correlation (r = 0.56,
p < 0.01). The level of PCV perceived by employees ranged moderate, with a
mean of 3.09 on the 5-point Likert response scale. Of the 413 respondents, six
respondents (1.5%) reported their very strong perception of PCV, 71 respondents
(17.2%) reported their strong perception of PCV, 198 respondents (48%) reported
that they cannot say either way, 113 respondents (27.3%) reported their little
perception of PCV, and 25 respondents (6.1%) reported that they did not perceive
PCV at all.
Hypotheses 1 and 2 suggested that PCV perceived by emotional labours would
impact on organizational trust and job satisfaction. As predicted by Hypothesis 1,
PCV perceived by emotional labours was negatively associated with their trust
(r = −0.52, p < 0.01). As predicted by Hypothesis 2, PCV perceived by emotional
labours was negatively associated with their job satisfaction (r = –0.45, p < 0.01).
Hence, both Hypothesis 1 and Hypothesis 2 were supported.
3.2 Hierarchical Modulated Regression Analysis
Hypotheses 3a, 3b, 4a, 4b, 5a and 5b posited that emotional labour aspects
(affective delivery, surface acting and deep acting) would moderate the relationship
both between PCV and trust and between PCV and satisfaction. Those hypotheses
were tested using a hierarchical moderated regression, also using the moderator
concept outlined by Baron and Kenny (1986).
In the 1st step, all the control variables of gender, tenure, age and additional
controlled variables were inserted into the regression equation to eliminate alter-
native explanations; three independent variables concerning psychological contract
context (PCV, careerism orientation and self-evaluated job performance) and three
independent variables concerning organizational stress context (role conflict, role
ambiguity and emotional exhaustion) were also included.
In the 2nd step, the independent variables of three motional labour aspects
(affective delivery, surface acting and deep acting) were inserted into the regression
equation. The results of the hierarchical regression analyses and examining the
impacts of the interaction between PCV and emotional labour aspects (affective
delivery, surface acting and deep acting) are presented in Table 2.
Table 2 Summary of hierarchical regression analysis: interactions of Psychological Contract Violation (PCV) and emotional labour aspects (affective
252
delivery, surface acting and deep acting)

Dependent variables
Trust Satisfaction
Independent (Step 1) (Step 2) (Step 3) (Step 4) (Step 5) (Step 1) (Step 2) (Step 3) (Step 4) (Step 5)
variables
Step 1 (controls Gender −0.08* −0.09** −0.08* −0.09** −0.09** −0.11** −0.11*** −0.11** −0.12** −0.11**
variables) Tenure 0.00 −0.00 −0.00 0.01 −0.01 0.17** 0.16** 0.16** 0.19** 0.17**
Age 0.10 0.11 0.10 0.09 0.10 −0.06 −0.06 −0.07 −0.09 −0.07
PCV −0.51*** −0.52** −0.85*** −0.93*** −0.59** −0.46*** −0.46*** −0.65*** −1.23*** −0.54***
Careerism −0.03 −0.03 −0.03 −0.03 −0.03 −0.09** −0.09** −0.09** −0.10** −0.09**
orientation
Job performance −0.05 −0.07 −0.08 −0.07 −0.07 −0.05 −0.07 −0.08 −0.07 −0.08
Role conflict −0.05 −0.05 −0.05 −0.05 −0.05 −0.06 −0.06 −0.06 −0.06 −0.06
Role ami jury −0.11** −0.11** −0.11** −0.19** −0.11** −0.08* −0.08* −0.08* −0.09* −0.09*
Emotional 0.05 0.02 0.01 0.02 0.02 −0.01 −0.06 −0.06 −0.05 −0.05
exhaustion
Step 2 (emotional Surface acting 0.01 −0.00 −0.22 0.01 0.03 0.03 −0.39** 0.03
labours) Deep acting 0.07 0.07 0.08 0.02 0.11** 0.10** 0.12** 0.05
Affective delivery 0.00 −0.12* 0.00 0.00 −0.02 −0.08 −0.02 −0.02
Step 3 Interaction PCV Affective 0.36** 0.20
(1) delivery
F 19.12*** 14.53*** 13.87*** 15.40*** 12.11*** 11.29***
Adjusted 0.284 0.283 0.289 0.239 0.244 0.245
R-square
(continued)
N. Okabe
Table 2 (continued)
Dependent variables
Trust Satisfaction
Change in adjusted 0.001 0.006 0.005 0.001
R-square
Step 4 Interaction PCV Surface 0.47 0.88**
(2) acting
F 13.56*** 11.79***
Adjusted 0.284 0.254
R-square
Change in adjusted 0.001 0.010
R-square
Step 5 Interaction PCV Deep 0.09 0.10
(3) acting
F 13.39*** 11.16***
Interaction of Psychological Contract Violation …
Adjusted 0.281 0.243

R-square
Change in adjusted −0.002 −0.001
R-square
Standardized regression coefficients are reported. *p < 0.05, **p < 0.01, ***p < 0.001
253
254 N. Okabe
Interaction effects. Hypothesis 3a proposed that affective delivery practiced by

emotional labours moderates the negative relationship between PCV and their trust
towards employers. From Table 2, when the interaction term (1) (PCV affective
delivery) was inserted into the equation in step 3 (trust is the dependent variable),
the interaction was significant, F(1,409) = 13.87 (p < 0.001). Moreover, though
PCV remained a significant predictor with negative beta in the 1st step, when the
interaction term (1) (PCV affective delivery) was inserted into the equation in
step 3, significantly positive beta appeared, F(1,409) = 13.87 (p < 0.001),
B = 0.36, p <0.01), supporting Hypothesis 3a.
Figure 3 (left) shows the plotting graph of this interacting effect of PCV and
affective delivery on trust, and Fig. 4 (left) shows the same effects in a bar graph.
To identify an interaction, while the difference between high- and low-affective
delivery for low PCV group is 0.16 (low-affective delivery group received a higher
score than the high-affective delivery group), the difference between high- and
low-affective delivery for high PCV group is 0.22 (high-affective delivery group
received a higher score). On the other hand, when the dependent variable was
satisfaction, the interaction term (1) (PCV affective delivery) was not significant;
therefore, Hypothesis 3b was not supported.
Hypothesis 4a proposed that surface acting moderates the negative relationship
between PCV and emotional labours’ trust towards employers. Hypothesis 4a was
not supported as the interaction between PCV and surface acting was not signifi-
cant, when trust was the dependent variable. On the other hand, Hypothesis 4b,
which proposed that surface acting moderates the negative relationship between
PCV and satisfaction, was supported as the interaction was significant,
F(1,409) = 11.79, p < 0.001.
Figure 3 (right) shows the plotting graphs of this interacting effects of PCV and
surface acting on satisfaction, and Fig. 4 (right) shows the same effects PCV in a
bar graph. To identify an interaction, while the difference between high- and
High Affective Delivery Group High Surface Acting Group

Low Affective Delivery Group Low Surface Acting Group
3.4 4 3.95
SATISFACTION
3.19 3.92
3.2 3.8
TRUST
3.03
3 3.6
2.8 2.68 3.4 3.43
2.6 2.46
3.2 3.23
2.4 3
LOW HIGH LOW HIGH
PCV PCV PCV PCV
Fig. 3 Plotting graphs of the interaction effects of PCV and affective delivery on trust (left) and
PCV and surface acting on satisfaction (right)
3.5
3 5
SATISFACTION
2.5
4
TRUST 2
3
1.5
2
1
0.5 1
0 0
Low PCV High PCV Low PCV High PCV
Level of PCV Level of PCV
High Affective Delivery Group High Surface Acting Group
Low Affective Delivery Group Low Surface Acting Group
Fig. 4 Effects of level of PCV and affective delivery on TRUST (left) and effects of level of PCV
and surface acting on satisfaction (right)
low-surface acting for the low PCV group is 0.03 (there is not much difference in
scores between the low-surface acting group and the high-surface acting group), the
difference between the high- and low-surface acting for the high PCV group is
significantly observed (0.20) (high-surface acting group received a higher score).
Neither Hypothesis 5a nor Hypothesis 5b were supported as proposed since the
interactions between PCV and deep acting were not significant, when the dependent
variables were trust or satisfaction.
3.3 Structural Equation Modelling
The hypothesized relationships (Hypothesis 3a and Hypothesis 4b) were also

examined using structural equation modelling, using the model outlined by Baron
and Kenny (1986). Tests were conducted to see whether the moderated models fit
significantly.
Figure 5 displays the path diagram which has three causal paths: the predictor
(PCV: −0.79***), the moderator (affective delivery: −0.08) and the interaction
(PCV affective delivery: 0.35***) that feed into the outcome (trust). The result
shows the predictive recovery of trust by the interaction effect of PCV and affective
delivery. Similarly, Fig. 6 displays the path diagram has three causal paths: the
predictor (PCV: −0.74***), the moderator (surface acting: −0.20) and the inter-
action (PCV surface acting: 0.40***) that feed into the outcome (satisfaction).
The results show the predictive recovery of satisfaction by the interaction effect of
PCV and surface acting.
256 N. Okabe
Fig. 5 Path diagrams showing the predictive recovery of trust by the interaction effect of PCV
and affective delivery. ***p < 001
Fig. 6 Path diagrams showing the predictive recovery of satisfaction by the interaction effect of
PCV and surface acting. ***p < 0.001
4 Discussion and Practical Implications
4.1 Discussion
This study examined whether emotional labour aspects recover the decreasing
propensity of trust and satisfaction in the workplace, where emotional labours, or
flight attendants, may perceive PCV in the workplace. The finding of this study
extended the previous research and contributed to the literature.
First, affective delivery, which is expressing positive emotions in service inter-
actions, moderates the decreasing propensity on trust towards employers. Williams
(2001) has pointed out that affective responses influence how people evaluate their
level of trust in another party (e.g., employer). While PCV has negative impact on
trust, the findings of the study showed that such a negative impact would be
recovered by working practice with affective delivery.
Second, surface acting, which is suppressing genuine emotion in service inter-
actions, moderates the decreasing propensity on satisfaction. While some previous
research indicates that the use of surface acting to accord with the emotional display
rules is associated with burnout, the findings of this study suggested that, when
employees perceive PCV, practicing surface acting recovers the damaged job sat-
isfaction. Particularly, in the complex industry where the employees must do a lot
of work in a short time, or when dealing with emergencies, performing with surface
acting seems to reduce the mental burden of emotional workers and help in pur-
suing their duties.
4.2 Practical Implications
While the literature indicated that PCV involves the extreme emotional states such
as anger and betrayal, the negative emotion can be recovered by practicing emo-
tional labour aspects. The working practice with affective delivery recovers the
damaged faith in the company, and the working practice with surface acting
recovers the damaged job satisfaction. Though some research indicates that surface
acting to accord with the emotional display rules is associated with burnout, the
findings of this study suggest that, for the emotional labourers who work in the
complex industry or in emergencies, surface acting recovers lost job satisfaction.
5 Limitation and Future Research Direction
5.1 Limitation
The cross-sectional design and use of only self-evaluated responses of emotional

labourers might be considered as limitations of this study. However, self-reports of
these variables provide accurate measurement, because it would be difficult for a
co-worker or supervisor to accurately estimate whether another individual per-
ceives, for example, PCV and practices surface acting. Nonetheless, the present
study clarified that affective delivery recovers the negative effects of PCV on trust,
and surface acting recovers the negative effects of PCV on satisfaction.
258 N. Okabe
5.2 Future Research Direction
Concerning the cross-sectional nature of this study, future research should be

explored in different organization of the different area or in the different culture
where the different level of PCV, emotional labour and the outcomes would be
assessed so that the influences, the interaction and the antecedent/consequential
relationships could be compared. Another future research direction could be
exploring the competence of emotional labour or emotional interaction with other
individuals could be fostered in the mind of professionals so that it could give an
impact on the organizational management as well as the human resources man-
agement in the global and complex business world.
6 Conclusion
Competition among companies worldwide has been intensified. In addition,

according to the advances in the IT system, many companies have introduced
self-serving machines and automated systems into operations and other service
processes. On the other hand, many companies, paradoxically, focus on proving
their customers with an excellent service experience.
Affect permeates an organization and is present in the interdependent relation-
ships we hold with bosses, team members and subordinates (Barsade et al., 2007).
Affective processes (more commonly known as emotions) lurk behind political
behaviour and animate employees’ decisions and leadership, and strong affective
feelings are present at any time employees confront work issues and their organi-
zational performance (Barsade et al., 2007). The effect in the organization creates
companies’ culture, influences employees’ work behaviour and routine and fosters
competent employees and/or emotional labours. Thus, affective delivery in the
organization is important. Moreover, customer service employees with high emo-
tional competence can provide customers an excellent service experience.
Emotional competence reveals a more expansive view of emotions in institutional
theory, where emotions are central to the constitution of people as competent actors
and lend reality and passionate identification to an institution (Voronov & Weber,
2016).
Some previous research shows that deep acting, or authenticity, would have
more impact than surface acting to establish employee–customer relationships since
deep acting would have more meaning for the social exchange. Surface acting
requires effortful suppression of genuine emotion and expression of the appropriate
emotion (Johnson & Spector, 2007); thus, engaging in surface acting entails
experiencing emotional dissonance or the tension felt when expressions and feel-
ings diverge (Hochchild, 1983). On the other hand, the finding of this study shows,
when emotional labours happen to perceive PCV in the workplace, practicing
surface acting could recover the decreasing propensity of job satisfaction. Working
with surface acting in the busy and complex workplace could modify a genuine
feeling (PCV) so that a negative feeling could be diverted by surface acting. Being
required to be friendly to customers may make a monotonous job more fun, or may
allow self-expression that is enjoyable for employees (Ashforth & Tomiuk, 2000;
Tolich, 1993). No longer is there a “one size fits all” way to measure work-related
effects, such as using general attitudinal measures such as job satisfaction (Barsade
et al., 2007). Thus, affective delivery and emotional competence become mean-
ingful for emotional labours as well as organizations more than before.
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Translating into Practice
the Recommendations of a Safety Climate
Theory-Based Evaluation of Services
Provided by Disability Support Workers
Julia Harries, Jerry Ford and Neil Kirby
Abstract Disability support workers (DSWs) psychosocial work safety was

evaluated using a work safety climate measure that included two theoretical com-
ponents: perceptions of management and co-worker safety behaviours and attitudes.
Based on findings, recommendations were identified to improve DSW safety, with
seven recommendations translated into practice. Intervention outcomes varied from
organisation-wide to limited worksite implementation. An 18-month post-
intervention safety climate evaluation with 129 DSWs and 20 interviews showed
DSWs were significantly less concerned about psychosocial safety hazards, with no
differences for physical safety hazards. DSWs viewed management safety attitudes
and behaviours slightly more favourably. Repeated health and well-being measures
showed fewer DSWs experiencing burnout, more DSWs with health scores at or
above norms and fewer at risk of depression. Post-intervention findings suggest the
work safety climate measure with manager and co-worker attitudes components can
be used with management efforts to address workers’ safety concerns and positively
impact safety perceptions and well-being.
Keywords Organisational psychology Psychosocial safety Burnout

Work safety climate
J. Harries (&) N. Kirby

e-mail: julia.harries@adelaide.edu.au
N. Kirby
J. Ford
Disability and Community Inclusion Unit, Flinders University,
Adelaide, SA, Australia
e-mail: Jerry.Ford@flinders.edu

https://doi.org/10.1007/978-981-10-8034-0_15
264 J. Harries et al.
1 Introduction
This study involved a follow-up of psychosocial-related aspects of work safety for

disability support workers (DSWs) working for an Australian disability organisation,
following an earlier investigation and subsequent translation into practice of seven
work safety interventions. The initial investigation into DSW work safety (DSW
safety study 1) was undertaken at the organisation’s request and aimed to identify
factors contributing to high rates of DSW compensation claims and safety incident
reports. Whereas most claims involved musculoskeletal injuries that were experi-
enced by DSWs associated with their manual handling duties, of concern for the
organisation were the increasing numbers of psychological or mental stress incidents
that were being reported by DSWs. The most commonly reported mechanism of the
mental stress safety incidents was exposure to workplace or occupational violence, an
event that carries the risk of assault-related physical injury claims and also mental
stress or psychological injury claims, which are generally recognised as the most
expensive form of workers’ compensation claims (Safe Work Australia, 2013a).
Other causes of the mental stress safety incidents reported by DSWs included work
pressure and work-related harassment and/or workplace bullying (Kirby et al., 2014).
Surveys and interviews were used in the first investigation to determine the
organisational factors impacting DSW psychosocial well-being and work safety, and
in particular to understand the relationship between DSW assessments of their health
and well-being and DSW ratings of their work conditions and safety in the organi-
sation (Kirby et al., 2014). Health and well-being findings for the DSWs were con-
sistent with findings in the literature for staff working in disability support roles (e.g.
Lin et al., 2009; White, Edwards, & Townsend-White, 2006). Estimates in the liter-
ature of the number of staff working in disability services who experience stress levels
indicative of mental health concerns range from 25 to 40% (Hatton et al., 1999; Kozak,
Kersten, Schillmo¨ ller, & Neinhaus, 2013; Robertson et al., 2005). Although not all
DSWs involved in the first DSW safety study were experiencing health and well-being
concerns, when group results were considered, the DSW workforce sample were
found to be experiencing significantly more personal and work-related burnout and
had poorer physical and mental health than the normative samples of the instruments
used (Harries, Ng, Wilson, Kirby, & Ford, 2015; Kirby et al., 2014).
Impaired psychological well-being related to work has been widely reported in
the literature to be associated with detrimental consequences for workers and thus
for their employers. Worker consequences can include adverse outcomes for their
physical health (e.g. fatigue, headaches, cardiovascular disease, lowered immunity
and risk of developing musculoskeletal disorders) (Blewett, Shaw, LaMontagne, &
Dollard, 2006; Devereux, Rydstedt, Kelly, Weston, & Buckle, 2004; Hauke,
Flintrop, Brun, & Rugulies, 2011; Way, 2012), mental health (e.g. anxiety,
depression, sleep disturbances and suicide) (Blewett et al., 2006; Chan & Huak,
2004; Stavroula Leka, 2010) and behaviour (e.g. accident proneness, increased
work errors, reduced motivation, drug and/or alcohol abuse, violence) (Blewett
et al., 2006; Quick, Horn, & Quick, 1987). These physical, mental and behavioural
Translating into Practice the Recommendations of a Safety … 265
worker impairments have been shown to be related to diminished work perfor-

mance and increased work safety concerns for employers (e.g. high absenteeism
and/or turnover, increased accidents and work errors) (Dollard, Winefield, &
Winefield, 2001; Harnois & Gabriel, 2000; Pfeffer, 2010). Furthermore, research
has shown that those workers suffering burnout are more likely to engage in unsafe
work behaviours (Nahrgang, Morgeson, & Hofmann, 2011) and that worker psy-
chological distress is predictive of accident rates (Siu, Phillips, & Leung, 2004).
In the initial study of DSW safety, a measure of safety climate was included in the
survey to investigate the relationship between health and well-being and work safety
performance for DSWs. The safety climate of an organisation is considered to rep-
resent the collective view of workplace safety—which is influenced by recent safety
events—and has been shown to be related to, and a leading indicator of safety inci-
dents and accidents (Nahrgang et al., 2011) and to workplace stress (Oliver, Cheyne,
Tomas, & Cox, 2002; Siu et al., 2004). The safety climate measure used in the DSW
safety study, the Nordic Occupational Safety Climate Questionnaire (NOSACQ-50;
Kines et al., 2011), differs from other measures of safety climate in that it incorporates
questions to capture respondents perceptions of both management and co-worker
(workgroup) safety attitudes and behaviours. This contrasts with other safety climate
measures in which only perceptions of management safety attitudes and behaviours
are assessed, as safety is considered to be a “top down” phenomenon determined by
the organisation’s management (e.g. the Psychosocial Safety Climate measure
developed by Hall, Dollard, & Coward, 2010).
The association reported in the literature between workplace stress and the work
safety climate was confirmed in the first DSW safety study, with DSW burnout
associated with less favourable safety climate perceptions, and aspects of both
management and co-worker safety attitudes and behaviours were found to be rel-
evant (Harries et al., 2015; Kirby et al., 2014). DSW work conditions were con-
sidered an important factor in the significant finding between the co-worker safety
climate dimensions and DSW health and well-being. The DSWs working for the
organisation largely worked in dispersed community-based settings with a small
workgroup of co-workers. In these work conditions, they generally received less
direct supervision or support from management than was the case when disability
support services were provided in institutional settings, suggesting that the influ-
ence of co-workers was likely to be more relevant.
In order to understand the relevance of support from superiors and co-workers as
well as other work conditions in terms of their impact on DSW well-being and safety
performance, a work conditions measure was also included in the survey. Findings
from the work condition measure were used to contribute to recommendations
regarding effective job redesign strategies to minimise worker ill-health and to
promote environments that actively enhance positive worker well-being
(Verhoeven, Maes, Kraaij, & Joekes, 2003). Findings of the first DSW safety
study revealed an association between poorer health and well-being and less
favourable perceptions by DSWs of their work conditions. For example, study
findings showed higher burnout was associated with higher job demands and role
conflict but lower job control, support and role clarity (Harries et al., 2015).
Furthermore, significant correlations were obtained between work conditions and

well-being measures with the work safety climate measure utilised. Although cau-
sation could not be determined from correlations obtained in the safety study—with
many and reciprocal causal links likely—the results suggested that work conditions
and work stress findings have important implications for safety outcomes for DSWs.
Findings of this first DSW safety study, and particularly those of the safety
climate measure, identified a range of causal factors and related organisational
issues that were considered to be contributing to DSW workplace injuries (Kirby
et al., 2014). These findings and consultations with key stakeholders (e.g. man-
agers, supervisors, DSWs, health and safety representatives, union representatives
and training personnel) were used to compile a series of strategic recommendations
designed to prevent safety hazards and to improve DSWs’ physical and emotional
safety and well-being. Recommendations were grouped into five major areas: to
cultivate a positive organisational culture that overtly acknowledges and respects
DSW work safety; to develop the social capital and competency of work teams; to
ensure DSWs have the information, training and support required to perform their
jobs effectively; to enhance safety communication, monitoring and reporting sys-
tems; and to ensure work environments minimise the risk of DSW injuries. The
subsequent study (DSW safety study 2) reported here translated seven of the safety
recommendations into practice, with the effectiveness evaluated using the same
survey as utilised in the first DSW safety study approximately 18 months after the
first survey period.
The choice of the work safety interventions to translate into practice was guided
by specific criteria. In particular, they addressed major areas of safety concern
identified by stakeholders; there was wide consensus amongst stakeholders
regarding the safety benefit of the intervention; the implementation of the inter-
ventions was considered feasible within the time frame available (i.e. approximately
9 months); and no additional financial resources beyond existing levels available to
the organisation were required. The final criterion for the safety interventions was
that they should involve upstream controls to address safety hazards that were either
primary (preventative) or secondary (injury limitation) safety controls rather than
focusing on tertiary or rehabilitative interventions that address the worker at the
level of illness (e.g. use of employee assistance programs).
Factors previously reported in the literature as important for organisational
change were used to facilitate the implementation of the safety interventions in the
organisation. Research indicates that senior management involvement is critical to
successful change in organisations (Alimo-Metcalfe & Alban-Metcalfe, 2010). In
particular, communication from management about the reasons for, and process of
change is required. Management also needs to build a coalition of suitably moti-
vated and capable leaders, and be visibly and actively engaged in the change
process. The use of “champions of change” is also recommended to facilitate
organisational changes. These change advocates participate in the strategy-making
process during the change and act as driving forces for the change, ensure resources
are allocated to achieve changes and work to unblock barriers to change (Ginsberg
& Abrahamson, 1991). Employee empowerment and engagement is also considered
critical to the process of successful change. The research literature provides support
for the positive relationship between empowerment and the achievement of
work-related outcomes (Maynard, Gilson, & Mathieu, 2012) and for the mediating
effect of worker empowerment on burnout (Lee et al., 2013). Participatory
approaches utilising employee and health and safety committee input have been
shown to be effective elements of interventions designed to address work stress.
The seven work safety interventions that were translated into practice in DSW
safety study 2 are shown in Table 1. As can be seen, most were considered to be
primary level controls that aimed to proactively prevent harm or risks. The inter-
ventions were drawn from all of the major recommendation areas described pre-
viously except the final area associated with work environments.
During the second DSW safety study, the progress of these interventions was
monitored by the authors using interviews with key stakeholders. At the completion of
this study, the relative maturity of the interventions was established in interviews
using a method adapted from a system of business process models (Van Looy, 2014)
Table 1 Work safety interventions translated into practice in DSW safety study 2
Safety intervention and purpose Intervention description Control
level
1. Personnel selection procedures Use of psychological tests at the Primary
Recruit DSWs with required job point of DSW recruitment
skills, emotional capacity and
personal characteristics
2. Workforce safety communication Trial methods for safety Primary
Improve safety communication and communication for a dispersed
cultivate a positive organisational workforce
culture that overtly acknowledges
safety importance
3. Safety and handover information Develop a consistent safety and Primary
Improve the handover of client and handover folder for all worksites
safety-related information and
improve communication between
DSWs
4. Communication and team training Introduce communication and Primary
Develop the social capital and teamwork training for DSWs
effectiveness of teams and reduce
conflict between DSWs
5. Localised staff replacement system Develop a staff replacement system Primary
Ensure replacement DSWs deployed to ensure familiar teams of
to worksites have the necessary co-workers/replacement co-workers
expertise and are known to for worksites
co-workers and clients
6. Well-being checks Develop a brief debriefing format to Secondary
Ensure DSW well-being following check on DSW well-being after
safety incidents safety incidents
7. Safety monitoring and reporting Develop a safety report format for Secondary
Enhance safety reporting and managers that includes safety trends
monitoring systems for proactive risk management
Table 2 Level of safety intervention maturity at study completion

Maturity level Safety interventions
1. Conceptual process (i.e. intervention concept identified; work • Localised staff
required to develop concept before work-unit level trials) replacement system
• Communication &
team training
2. Structured process (i.e. basic process developed; trialled at • Safety and handover
work unit level; refinement required for organisation-wide folder
implementation)
3. Standardised process (i.e. standardised process developed; • Safety monitoring and
ready for integration as an organisation-wide methodology) reporting
• well-being checks
• Workforce safety
communication
4. Managed process (i.e. detailed processes exist; implemented • Personnel selection
across the organisation; measures of output quality being procedures
collected)
5. Optimised process (i.e. continuing organisational processes
enabled by collecting quantitative feedback and innovation to
achieve best practice)
for determining the maturity of new businesses. Table 2 shows the maturity levels
utilised and the maturity of the interventions at the completion of the study. As can be
seen, the interventions progressed to different stages of maturity following imple-
mentation, with a number determined to be close to progressing to the next level of
maturity at the completion of the study.
The findings reported here involve a post-intervention evaluation undertaken with
DSWs at the end of the second study, with findings compared to those of DSWs who
participated in the DSW safety study 1 (approximately 18 months earlier). The pur-
pose of this post-intervention evaluation was to determine the extent to which DSW
well-being, safety performance and safety climate had altered since the commence-
ment of DSW safety study 1 and following the implementation of the safety
interventions.
2 Method
2.1 Participants and Procedure
All DSWs working for the Australian disability organisation (approximately 1415
DSWs) were invited to participate in each safety study by participating in an
interview and/or completing a survey. Invitations were sent to DSWs at their home
addresses in study 1 and distributed to worksites in study 2. Information provided to
the DSWs included information about the research and a letter of support from the
Director responsible for the accommodation service operations outlining senior
management support for the research and explaining that surveys and interviews
Table 3 Participant demographics for the survey data for the two DSW safety studies
DSW safety DSW safety DSW workforce
study 1 (n = 99) study 2 (n = 129) (approx. 1415)
Gender
Males 51% 46% 39%
Females 49% 54% 61%
Mean age (SD) 48.35 years (10.6) 48.02 years (11.1) 45.5 years
Mean length of service (SD) 8.96 years (8.5) 9.75 years (9.4) 8.5 years
could be undertaken in work time. Participants were also informed that participation
was voluntary, that their responses would be confidential and only group results
would be reported.
The DSWs involved in the studies were employed to work within the organi-
sation’s accommodation support services and had daily responsibilities for pro-
viding person centred supports (e.g. for personal care, behaviour, health and
medical, and other lifestyle needs) to maximise the independence and quality of life
of adults with disabilities. The demographics of each DSW survey sample are
shown in Table 3. As can be seen, for each study there were proportionally more
males in the DSW samples than in the organisation’s workforce and the mean age
was slightly older.
In the second DSW safety study, a small sub-sample of 20 DSWs (11 females
and 9 males) were interviewed about work safety and changes to work safety that
had been observed. These DSWs had indicated on their returned consent form that
they were willing to be interviewed. The questions used in interviews were as
follows:
1. What has, and continues to work well with respect to safety for DSWs?
2. What are the major contributors to safety risks for DSWs?
3. Are you aware of any changes that have occurred with respect to work safety for
DSWs over the past 12–18 months?
2.2 Measures
Responses for this investigation were drawn from a larger questionnaire compiled
by the authors to examine work safety and to collect information regarding
demographics (e.g. age, gender), employment characteristics (e.g. length of ser-
vice), job satisfaction and safety perceptions. Four standardised measures were
included in this study: measures of burnout, physical and mental health, bullying
and/or harassment and safety climate. Additionally, the authors developed ques-
tions designed to address specific safety concerns associated with working as a
DSW. Throughout the questionnaire, DSWs were provided with opportunities to
record qualitative comments to elaborate on or qualify responses.
Burnout was assessed using the Copenhagen Burnout Inventory (CBI;

Kristensen, Borritz, Villadsen, & Christensen, 2005). The CBI comprises three
subscales. Central to the CBI is the association between burnout and physical and
psychological fatigue and exhaustion. CBI subscale structure reflects attribution of
exhaustion to specific life domains. The personal burnout subscale (six items)
assesses exhaustion regardless of occupational status. The work-related burnout
(seven items) and client-related burnout (six items) subscales measure the extent
exhaustion is perceived as related to work or clients, respectively. Item responses
are rated on a 5-point scale (0 = never/almost never or to a very low degree to
100 = always or to a very high degree). Higher scores represent more burnout, with
the mean of 50 or greater considered as indicating burnout. The normative sample
comprised 1914 human service sector workers.
Physical and mental health was assessed using the SF-8 health survey (Ware,
Kosinski, Dewey, & Gandek, 2001). The SF-8 is a self-report survey that looks at
the extent to which individuals are currently able to perform their normal or usual
behaviours and activities. It has a norm-based scoring system and provides a
Physical Health Component Summary score and a Mental Health Component
Summary score. Higher scores on the Physical and Mental Health Component
Summary scores indicate better health, with scores above and below 50 interpreted
as above or below the average for the general US population with comparable
norms available for the Australian population (Crouchley, 2007).
Bullying and/or harassment was measured using a subscale from the General
Nordic Questionnaire for Psychological and Social Factors at Work (QPS Nordic;
Dallner et al., 2000; Lindstrom et al., 2000). The normative sample consisted of
2010 participants from public services, health sectors and production. The bullying
and/or harassment subscale includes two items that examine worker experiences of
bullying and observations of others being bullied. The definition of bullying used in
the QPS Nordic to establish the norms involves only downward bullying (i.e.
involving superiors bullying subordinates), whereas the relevant Australian gov-
ernment safety authority uses a definition that includes non-directional bullying.
Consequently, the authors used the QPS Nordic measure but with bullying defined
“as repeated and unreasonable behaviour directed towards a worker or group of
workers that creates a risk to health and safety” (Safe Work Australia, 2013b).
Safety climate was measured using the Nordic Occupational Safety Climate
Questionnaire (NOSACQ-50; Kines et al., 2011) which includes 50 items phrased
positively or negatively. The NOSACQ-50 includes seven safety climate dimen-
sions, including three management and four work-unit level dimensions. The three
management level dimensions include management safety priority, commitment
and competence (e.g. “Management encourages employees here to work in
accordance with safety rules—even when the work schedule is tight”), management
safety empowerment (e.g. “Management strives to design safety routines that are
meaningful and actually work”) and management safety justice (e.g. “Management
collects accurate information in accident investigations”). The four work-unit (or
co-worker) level dimensions include workers’ safety commitment (e.g. “We who
work here try hard together to achieve a high level of safety”), workers’ safety
priority and risk non-acceptance (e.g. “We who work here regard risks as
unavoidable”—negatively scored item), peer safety communication, learning and
trust in co-workers’ safety competence (e.g. “We who work here try to find a
solution if someone points out a safety problem”), and workers’ trust in the efficacy
of safety systems (e.g. “We who work here consider that a good safety represen-
tative plays an important role in preventing accidents”).
NOSACQ-50 uses a 4-point scale (i.e. strongly disagree, disagree, agree and
strongly agree). The normative sample consisted of 3853 healthcare sector workers.
Scores of 3.30 or more indicate a good safety climate for maintaining and con-
tinuing safety development; 3.00 to 3.30 reflect a fairly good safety with a slight
need for improvement indicated; 2.70 to 2.99 suggest a fairly low perceived safety
with need for improvement; and scores below 2.70 indicate a low safety climate
with a great need for improvement.
Safety hazard perceptions were assessed using questions that asked DSWs to
indicate how frequently they felt unsafe at work due to 22 workplace hazards
related to working as a DSW. These questions included 12 questions related to
physical hazards in the workplace (e.g. safety risks in the internal or external work
environment; risks associated with use of hazardous substances; manual handling
risks; risk of slipping, tripping or falling) and 10 questions related to psychosocial
hazards in the workplace (e.g. client aggression; bullying; lack of support in
workplace). These questions were rated using a 5-point scale (i.e. 1 = never or
almost never, 2 = not often, 3 = sometimes, 4 = often, 5 = always).
2.3 Ethics
Approval to conduct this evaluation was obtained from the Human Research Ethics
Committees of the University of Adelaide and the participating organisation.
3 Results
Table 4 provides the descriptive statistics for well-being measures used in the survey
for each of the DSW samples with the instrument norms where applicable. It can be
seen that the mean burnout scores for the second safety study all differed signifi-
cantly from the norm means, with the personal and work-related burnout means
significantly poorer than the norms whereas client-related burnout was significantly
better than the norms. This pattern of results remained the same as in the first DSW
safety study. When the number of DSWs who were considered to be experiencing
burnout (i.e. have a score of 50 or more) was examined, an improvement was evident
in the second DSW sample when compared to the first study, although improve-
ments were not significant. DSWs considered to be experiencing burnout included:
personal burnout study 1 = 41.4%, study 2 = 35.2%; work-related burnout study
1 = 33.3%, study 2 = 31.0%; and client-related burnout study 1 = 15.3%, study

2 = 11.6%. In the first study, 49.5% of DSWs were experiencing burnout in at least
one domain compared to 40.3% in the second study.
When the SF-8 scores are examined, it can be seen in Table 4 that for both DSW
studies, the mean mental health component scores were significantly poorer than the
norms. Although there was an improvement in the mental health component scores
from study 1 to study 2, the mean difference was not significant. The SF-8 mental
health component score can also be used as a preliminary screener to identify
respondents who are at risk of depression, although it is not considered a diagnostic
measure. Risk of depression findings for the two DSW samples showed an
improvement, with 32% of DSWs considered to be at risk of depression in study 1
compared to 25% in study 2. However, the number of DSWs at risk of depression
remained significantly higher than the SF-8 norms.
Findings from the two items in the QPS Nordic bullying and/or harassment
subscale are shown in Fig. 1. Compared to the norms (which represent downwards
bullying only) and the percentage reported for Australian workers (which represents
non-directional bullying) (Safe Work Australia, 2013b), DSWs in both samples
reported experiencing and witnessing significantly more bullying. While each
sample reported higher levels of bullying than the norms, there was a decrease in
experienced and witnessed bullying between the first and second safety study, with
the percentage of DSWs reporting that they witnessed bullying significantly lower
in the second study than was the case in the first.
Table 5 provides the descriptive statistics for the safety measures used in the
survey for each of the DSW samples with the instrument norms where applicable.
Table 4 Descriptive statistics for the Copenhagen Burnout Inventory and SF-8 health survey and
comparisons to the normative samples
Scales DSW safety study 1 DSW safety study 2 Normative
(n = 99) (n = 129) sample
Range Mean Range Mean Mean
(SD) (SD) (SD)
Copenhagen Burnout Inventory
Personal burnout 8.33–100 45.77** 0–100 43.08** 35.9
(20.7) (17.7) (16.5)
Work-related burnout 3.57–100 41.28** 3.57– 37.51* 33.0
(22.2) 89.29 (20.1) (17.7)
Client-related burnout 0–95.83 26.13* 0–83.33 22.45** 30.9
(20.8) (19.2) (17.6)
SF-8 health survey
Physical health 23.81– 48.13 23.27– 48.78 50
component score 61.26 (9.3) 63.72 (8.7) (10)
Mental health component 17.43 45.95** 11.35 48.03* 50
scores −61.88 (11.4) −61.69 (10.6) (10)
*p < 0.05, **p < 0.01 (compared with the normative sample)
48%
DSW Study 1
34% 34%
26% DSW Study 2
14% 13% QPS Norms

4%
Safe Work Australia
Experienced bullying Observed bullying
Fig. 1 Percentage of DSWs in each safety study who reported they had experienced or witnessed
bullying in the workplace compared to the QPS norms and percentage reported by SafeWork
Australia
As can be seen in Table 5, in both studies, the means for the safety climate
dimensions differed significantly from those of the norm group for one management
dimension (management safety justice) and all four of the work-group or co-worker
safety climate dimensions. On all three of the management dimensions, there were
mean improvements in the second study from the first, whereas only one of the four
Table 5 Descriptive statistics for the NOSACQ-50 and safety hazard survey questions and
comparisons to the normative samples
Scales DSW safety DSW safety study Normative
study 1 2 sample
(n = 99) (n = 129)
Range Mean Range Mean Mean
(SD) (SD) (SD)
NOSACQ-50
Management safety priority and 1.33– 2.83 1.00– 2.87 2.85
ability 4.00 (0.59) 4.00 (0.55) (0.58)
Management safety empowerment 1.29– 2.71 1.00– 2.77 2.83
4.00 (0.62) 4.00 (0.55) (0.55)
Management safety justice 1.00– 2.74** 1.00– 2.80** 3.12
4.00 (0.67) 4.00 (0.55) (0.50)
Worker safety commitment 2.00– 3.11** 1.83– 3.09 ** 3.31
4.00 (0.48) 4.00 (0.39) (0.47)
Workers safety priority & risk 1.43– 2.85** 1.28– 2.87** 3.09
non-acceptance 4.00 (0.52) 4.00 (0.52) (0.51)
Peer safety communication, 1.50– 3.05* 1.25– 3.03** 3.20
learning and trust in safety ability 4.00 (0.54) 4.00 (0.45) (0.44)
Workers trust in the efficacy of 1.71– 3.15** 1.00– 3.10** 3.36
safety systems 4.00 (0.47) 4.00 (0.46) (0.44)
Safety hazards
Physical hazards 1.00– 2.11 1.00– 1.99 –
3.83 (0.67) 4.00 (0.67)
Psychosocial hazards 1.00– 2.47 1.00– 2.20 –
4.30 (0.81) 4.56 (0.81)
*p < 0.05, **p < 0.01 (compared with the normative sample)
co-worker safety climate dimensions improved. With respect to concerns about

specific safety hazards, it can be seen in Table 5 that in both study samples, the
DSWs were generally more frequently concerned about psychosocial safety hazards
than physical hazards. It can also be seen that the DSWs were less concerned about
both types of hazards in the second sample than the first; however, only the dif-
ference for the psychosocial hazards was significant [t (221) = 2.46, p = 0.014].
Findings from interviews were used to determine DSW perspectives on effective
safety initiatives used by the organisation and factors that remained as contributors
to safety concerns. In interviews, DSWs identified 18 areas that were considered to
be effective safety initiatives. Thirteen of these initiatives were reported by more
than 50% of those interviewed. The top initiatives mentioned by 70% or more of the
respondents included: workplace emergency plans, organisational safety policies,
safe operating procedures (e.g. manual handling, use of hazardous substances),
vehicle safety (e.g. vehicles in good condition, safety barriers) and the safety
incident reporting system. The least frequently reported safety initiative was that the
workplace was stress-free (reported by 23% of DSWs).
In response to the question about major contributors to safety risks for DSWs,
the DSWs identified 18 areas of concern. Most safety concerns (61%) were men-
tioned by 5% or fewer of the DSWs interviewed. Those above this level were
mentioned by between 6 and 15% of DSWs and included: bullying or other
co-worker conflicts, lack of adequately trained staff, lack of support in the work-
place, aspects of the internal and/or external physical environment, lack of adequate
staff training, high job demands, working with clients with challenging behaviours
and other staff-related issues (e.g. stress associated with working with unfamiliar
replacement DSWs). Most safety risks identified by DSWs related to psychosocial
aspects of the work situation rather than physical risks.
DSWs were also asked about any changes they may have observed over the
preceding 18 months. Responses from DSWs included improvements and deterio-
rations. The improvements that were reported were grouped under seven headings,
including: improved follow-up for DSWs following safety incidents, more overt
commitment from management towards safety, changes to staffing procedures (e.g.
use of psychological testing in new DSW recruitment), greater focus on safety pro-
cedures, improvements in safety communication, environmental safety improve-
ments and training. Deteriorations reported by DSWs were grouped under eight
headings, including: problems with equipment or aspects of the work environment,
inadequate safety follow-up and communication, bullying and workplace conflicts,
issues associated with the staff daily replacement system, lack of management sup-
port, aspects of their work conditions (e.g. lack of job rotation), clients with chal-
lenging behaviours and lack of adequately skilled staff. These findings supported the
DSW study 1 findings that suggested that the causal influences of safety risks for
DSWs were complex with specific factors or combinations of factors relevant for
different work circumstances and environments, as indicated by the factors identified
as improving by some DSWs also being reported as having deteriorated by others, for
example, follow-up after safety incidents and safety communication. These findings
may also reflect the incomplete penetration across the organisation of the imple-
mented safety interventions at the time of this evaluation.
4 Discussion
This project aimed to translate into practice selected work safety recommendations
for disability support workers (DSWs) compiled from DSW safety study 1. The
implemented interventions selected were chosen according to the specific criteria
that there was wide consensus about possible safety benefit and likely impact, they
could be implemented in a short time period (approximately 9 months), required no
additional financial resources, and focused on upstream safety controls. The
implementation of these interventions was undertaken with a strong commitment
from the organisation’s management and involved a cooperative process with the
direct involvement of the organisation’s management, thus demonstrating the
organisation’s commitment to improving the health and safety outcomes for DSWs.
The research findings in DSW safety study 1 suggested there were multiple
factors associated with the psychosocial work safety hazards impacting DSWs and
that the causal influences were often complex, with specific factors or combinations
of factors relevant for particular work circumstances and in different environments.
Consequently, to address these hazards multiple safety intervention approaches
were required, seven of which were trialled in this research. The underlying focus
of these interventions included the cultivation of a positive safety climate that
overtly acknowledges and respects DSW work safety; the development of the social
capital and competency of work teams; ensuring DSWs have the information
required to perform their jobs effectively; and the enhancement of safety commu-
nication, monitoring and reporting systems. At the completion of the DSW safety
study 2, the implemented interventions had reached variable levels of maturity.
As the time available to translate safety recommendations into practice was
limited this meant that some interventions remained as pilot implementations at
various worksites. Consequently, it was not anticipated that broad reaching work
safety climate and organisational health and safety impacts would be evident in the
post-intervention evaluation. Yet the post-intervention findings did show
improvements when compared to findings for a DSW sample surveyed in the first
safety study, although the DSW health and well-being outcomes generally remained
poorer than norm groups. When compared to the first DSW sample, favourable
health and well-being outcomes included fewer DSWs experiencing high levels of
personal and work-related burnout, more DSWs who had physical and mental
health scores indicating better health, and fewer DSWs at risk of experiencing
depression.
A further favourable trend noted from the first to the second safety study involved
significantly lower levels of bullying observed in the workplace in study 2 along with
fewer DSWs reporting being bullied. Although reported levels of bullying remained
significantly higher than the norms, the improvements in the results support further
efforts to continue with the communication and team training and localised staff
training interventions. Both of these interventions aimed to develop effective teams
and improve co-worker relationships, and each remained at relatively immature
levels of development at the conclusion of this post-intervention evaluation.
The different levels of maturity achieved for each of the interventions were related
to a number of factors (e.g. conflicting demands for resources, scale of the interven-
tion). Nonetheless, the interview findings suggested that the seven safety interven-
tions remained relevant for addressing DSW work safety. This was highlighted by the
types of safety risks that DSW identified, many of which the interventions had been
designed to address (e.g. follow-up for workers following safety incidents) and also in
the improvements reported by some DSWs that related directly to the implementation
of particular interventions (e.g. improved safety communication). Communication is
identified in the literature as an important contributor to a positive organisational
safety climate (British Standards Institution, 2011) and was central to several of the
safety interventions trialled (e.g. communicating with the workforce about safety
initiatives, handover transfer of critical client-related safety information, provision of
safety statistics to communicate safety hazards and progress with managers, and
well-being checks following incidents). DSWs’ reports of improved communication
from management as a safety improvement that occurred over the period of the
research and improvements in the safety climate from study 1 underscore the role of
communication in work safety improvements.
The findings reported here provide support for the utility of a measure of safety
climate when attempting to identify work safety issues, solutions to those issues
(based on providing opportunities for suggested improvements) and for implementing
and monitoring safety-related changes in organisations. The NOSACQ-50 used in this
study provided a useful profile of DSW perceptions of the safety behaviours and
attitudes of both management and co-workers, relative to those of a norm group,
which enabled the targeting of safety interventions designed to address areas of safety
concerns raised. The post-intervention use of the same measure provided an indication
of the extent to which the interventions had been effective at addressing the safety
behaviours and attitudes identified by DSWs in the first study. Post-intervention
survey findings showed slight mean improvements for all three management factors in
the organisational safety climate but for only one of the co-worker factors when
compared to the results of the first safety study. The fact that none of the work safety
climate improvements was significant is not surprising given the relatively short time
frame of the study and the fact that as a general measure of management and co-worker
attitudes and behaviours it might be expected to take some time before changes in the
work safety climate become apparent. Nevertheless, the slightly more favourable
view of management in regard to how management prioritises and responds to safety
concerns, the fair treatment of workers involved in incidents, and worker safety
empowerment, were all consistent with the underlying focus of implemented inter-
ventions for which the most progress was made; for example, these included the
interventions implemented to improve safety communication with the workforce and
the intervention involving the use of well-being Checks for DSWs who were exposed
to safety incidents.
Importantly, the safety climate findings in the second study identified areas of
safety concern that remained a priority. For example, the mean score for the
co-worker safety climate dimension associated with peer safety communication,
learning and trust in safety ability was little changed from study 1 to study 2 and
remained in the NOSACQ-50 score range considered to indicate “fairly good safety
with a slight need for improvement”. Examples of the types of safety behaviours
and attitudes in the dimension include “We who work here feel safe when working
together”, “We who work here have great trust in each other’s ability to ensure
safety” and “We who work here can talk freely and openly about safety”. These
aspects of co-worker safety were key drivers behind the recommendations associ-
ated with the need for communication and team training and the development of a
localised staff replacement system that ensures the deployment of replacement staff
with the appropriate expertise and familiarity with co-workers and clients at par-
ticular worksites. These were the two safety interventions that matured the least
during the period of this study, and the safety climate findings suggest that
improvements associated with this co-worker safety dimension remain necessary.
5 Summary
Although there were no significant improvements in the safety climate, the findings
did provide preliminary support for the effectiveness of the seven safety interven-
tions, which largely targeted psychosocial safety concerns of the organisation’s
DSW workforce. In particular, DSWs in the second study were significantly less
likely to be concerned about psychosocial safety hazards than the DSWs surveyed
for the first safety study, with no differences evident with regard to physical safety
hazards. The health and well-being measures in the second study also showed fewer
DSWs experiencing burnout, more DSWs with health scores at or above norms and
fewer at risk of depression.
The findings of this study support an approach to implementing safety-related
changes that incorporate the use of normed surveys to benchmark and monitor
progress; stakeholder interviews to establish consensus for possible changes and
identifying potential facilitators and/or inhibitors; and the use of external consul-
tants to assist with navigating, monitoring and sustaining changes. In particular, the
findings highlight the usefulness of a measure of safety climate that includes per-
ceptions of both management and co-worker safety behaviours to identify safety
issues, obtain suggestions for improvements and to regularly monitor the safety
issues and the impact of changes.
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Ups and Downs as Indonesian College
Students: Risk and Protective Factors
for Psychological Distress
Dra. Sugiarti, Lavenda Geshica, Dito A. Prabowo, Ade Rachmawati,

Anindita Alkarisya and Vira A. Mulyaningrum
Abstract The recent study aimed to investigate potential risk and protective factors
for psychological distress among Indonesian college students. A total of 1024
students from various colleges in Indonesia completed online and offline self-report
questionnaires assessing the variables of interest, such as psychological distress
(Hopkins Symptom Checklist-25), family functioning (Family Assessment Device),
personality traits (Big Five Inventory-44), optimism (Life Orientation
Test-Revised), resilience (Connor-Davidson Resilience Scale), and perceived social
support (Social Provisions Scale). The results indicated negative and significant
relationship between family functioning (communication and affective involvement
dimensions), personality traits (extraversion and conscientiousness), optimism,
resilience, perceived social support, and psychological distress. It also indicated
positive and significant relationship between neuroticism personality trait and
psychological distress. These findings suggested that family functioning (commu-
nication and affective involvement dimensions), personality traits (extraversion and
conscientiousness), optimism, resilience, and perceived social support can be pro-
tective factors for psychological distress, meanwhile neuroticism personality trait
can be risk factor for psychological distress.
Dra. Sugiarti (&) L. Geshica D. A. Prabowo A. Rachmawati A. Alkarisya

V. A. Mulyaningrum
Faculty of Psychology, Universitas Indonesia, Depok, Indonesia
e-mail: sugiarti@ui.ac.id; sugiartipsi@gmail.com
URL: http://www.ui.ac.id
L. Geshica
e-mail: lavenda.geshica@ui.ac.id
D. A. Prabowo
e-mail: dito.aryo@ui.ac.id
A. Rachmawati
e-mail: ade.rachmawati@ui.ac.id
A. Alkarisya
e-mail: anindita.keumalahayati@ui.ac.id
V. A. Mulyaningrum
e-mail: vira.andalusita@ui.ac.id

https://doi.org/10.1007/978-981-10-8034-0_16
282 Dra. Sugiarti et al.

Keywords Family functioning Optimism Perceived social support

Personality traits Psychological distress Resilience
1 Introduction
It is widely accepted that suicide is a global phenomenon indicating mental health

emergency. World Health Organization (2016) estimates over 800,000 people die
due to suicide every year. Moreover, suicide is the second leading cause of death
among young adults aged 15–29 years old. In Indonesia, the national suicide rate
among young adults aged 15–29 is 3.9 per 100,000 people (WHO, 2016). The high
rate of suicide impacts on raising awareness on the importance of suicide preven-
tion program. In consequence, today suicide prevention has become an integral part
of Mental Health Action Plan of the World Health Organization which aims to
reduce the rate of suicide by 10% in 2020 (WHO, 2016).
Before undertaking suicide prevention program, it is important to identify factors
that contribute to suicide. Although suicide is a complex phenomenon, the current
studies show that suicide is determined by the interaction between several factors
inducing psychological distress, such as biological, psychological, environmental,
social, and cultural factor. These factors are evidently increasing the risk of death
caused by suicide (WHO, 2016) since suicide is the worst form of psychological
distress (Eskin et al., 2016).
Lazarus and Folkman (1984, p. 19) defined psychological distress as “A par-
ticular relationship between the person and the environment that is appraised by the
person as taxing or exceeding his or her resources and endangering his or her
well-being.” The demands from the environment are called as stressor. According
to Lazarus and Folkman (1984), psychological distress results from people’s
interpretation and explanations of their circumstances.
Each of the developmental stages has its own risk of psychological distress.
However, college students who are in the emerging adult developmental stage, have
the highest risk of psychological distress compared to other populations (Curtis,
2010). It transpires because college students experiencing the age of instability due
to heterogeneous transitions, such as transition from high school to college and
transition from adolescence to early adulthood (Curtis, 2010; Arnett, 2013). These
transitions cause college students suffer from loneliness, isolation, and identity loss
(Curtis, 2010). In addition, college students nowadays have higher risk of psy-
chological distress compared to college students in 15–20 years ago due to rising
college tuition fees that lead to financial problem, raising demand for success, and
having difficulty to get a job in highly competitive employment market (Sharkin,
2013).
Ups and Downs as Indonesian College Students … 283
Even though college students face several problems and pressures, in fact not all
college students experience high psychological distress. It is because there are a
number of internal factors that may contribute to individual differences in experi-
ence of psychological distress, such as family functioning, personality traits, opti-
mism, resilience, and perceived social support.
1.1 Family Functioning
Social support from significant other plays an important role in reducing the risk of
psychological distress (Mirowsky & Ross, 2003). Beach et al. (in Cumsile &
Epstein, 1994) also explained that intimate relationship is adequate to reduce the
risk of depression. Furthermore, availability of social support from significant
others may help individuals to be more confident and be able to control themselves.
According to Mirowsky and Ross (2003), family is the closest significant other
whom may be able to give social support during psychological distress period. In
other words, a functional family can be a protective factor for psychological
distress.
According to McMaster Model of Family Functioning, family functioning was
described as structural property and organization from a group of family and
interaction pattern between family members so that it can be differentiated between
healthy families and unhealthy families (Epstein, Baldwin, & Bishop, 1983). In
accordance with McMaster Model of Family functioning, there are several
dimensions of family functioning; they are problem solving, communication, roles,
affective responsiveness, affective involvement, and behavior control.
1.2 Personality Traits
Personality traits play an important role affecting psychological distress, therefore

personality traits have repeatedly been a variable of interest in studies pertaining to
mental health problems (Shaheen, Jahan, & Shaheen, 2014). According to Costa,
Terracciano, and McCrae (2003, p. 23), personality traits refer to “Dimensions of
individual differences in tendencies to show consistent patterns of thoughts, feel-
ings, and actions.” Personality traits predispose individual’s perception and inter-
pretation in experience of psychological distress (Wenzel & Beck, 2008). In other
words, individual’s perception toward stressor is determined by personality traits.
In accordance with Costa, Terracciano, and McCrae (2003) five-factor model
(FFM), there are five broad dimensions of psychological distress (i.e., extraversion,
openness, agreeableness, conscientiousness, and neuroticism). FFM gives immense
information with each dimension characterizing a subset of individual characteristic
independently.
Extraversion dimension describes both quantity and quality in interpersonal

relationship, need for social stimulation, and capacity to joy and emotional ful-
fillment. Individuals with high extraversion tend to seek interaction with others.
They are also affectionate, delighted, optimistic, and talk active. Unlike individuals
with high extraversion, individuals with low extraversion tend to be reserved,
independent, and not likely to interact with others. Nevertheless, it does not mean
that low extraversion identical with unhappiness and pessimistic. Individuals with
low extraversion also experience positive emotion as same as individual with high
extraversion do, but they express it in different ways (Costa & McCrae, 1994).
Agreeableness indicates the kind of interpersonal interaction in continuum from
compassion to antagonism. Individuals with high agreeableness are willing to help
each other, selfless forgiving, friendly, and obedient. Otherwise, individuals with
low agreeableness are tough-minded, cynical, manipulative, uncooperative, and
spiteful (Costa & McCrae, 1994).
Conscientiousness dimension emphasizes on the level of motivation, control,
and self-disciplined. Individuals with high conscientiousness tend to be dutiful,
ambitious, and sometimes to the point of being “workaholic.” So that individuals
scoring high on conscientiousness would be reliable, hard-working, and neat. While
individual with low conscientiousness, in comparison, tends to be aimless, having
low ambition, unreliable, and more likely to giving up when they are given chal-
lenging assignment (Costa & McCrae, 1994).
Neuroticism refers to chronic emotional instability and difficulty in adapting to
circumstances. Individuals with high neuroticism tend to be anxious, tempera-
mental, having unrealistic ideas, and having low frustration tolerance. These
characteristics make individuals with high neuroticism are more likely to suffer
from psychological distress than individuals with low neuroticism. It is caused
individuals with low neuroticism have some characteristics that can be protective
factors toward psychological distress, such as tend to be patient, satisfied with
themselves, and having emotional stability (Costa & McCrae, 1994).
Openness dimension is tendency to be imaginative, unconventional, individu-
alistic, creative, curious, and divergent thinker. In addition, individuals with high
openness also feel their emotions deeply and intensely. Otherwise, individuals who
score low on openness tend to be more conventional, conservative, dogmatic, and
having less ability to understand a complex idea (Costa & McCrae, 1994).
1.3 Optimism
Optimism can minimize the negative impacts on psychological distress (Carver &
Scheier; Carver, Scheier, & Segerstrom in Besser & Zeigler-Hill, 2014). Individuals
with high level of optimism are expected to have lower level of psychological
distress (Besser & Zeigler-Hill, 2014). According to Scheier and Carver (1985),
optimism refers to the tendency to believe positive outcome. Scheier, Carver, and
Segerstrom (2010) defined optimism as a variable giving individual differences in
reflected positive expectations toward future. Srivastava and Angelo (2009) also
defined optimism as a tendency to get positive outcomes. Gillham, Shatte, Reivich,
and Seligman (2001) described optimism as a tendency to expect the best possible
outcomes. Hence, it can be concluded that optimism is a tendency to expect positive
outcomes in the future.
Carver and Scheier (2005) explained that individual with high optimism tends to
expect positive outcomes; whereas, individual with low optimism tends to believe
that negative outcomes will happen in the future. High-level optimism makes
individuals tend to believe that positive outcomes will occur in spite of the prob-
lems faced nowadays. The doubt toward future makes individuals with low-level
optimism are more likely to experience negative feelings, such as anxiety, guilt,
anger, sadness, and hopelessness (Carver & Scheier in Scheier, Carver, & Bridges,
2001).
1.4 Resilience
The relevance between psychological distress and resilience begins with its defi-
nition. Based on Richardson, Neiger, Jensen, and Kumpfer (1990), resilience
defined as “The process of coping with disruptive, stressful, or challenging life
events in a way that provides the individual with additional protective and coping
skills than prior to the disruption the result from the event.” From the further
explanation given in their journal, resilience viewed as process from being chal-
lenged in distressful situation, to be able to surpass the adversity, thus resilience
exists due to distress. From the process described by Richardson et al. (1990), the
outcome from the process involving person and environment qualities divided as
four type; where resilient reintegration categorized as the type when an individual
with adversity recognized his/her strength and surpass it, also manage to prevent
prospective distressful situations.
Empirical basis that supported the idea has been developed in many settings
throughout the resilience research. Bacchi and Licinio (2016) and McGillivray and
Pidgeon (2015) found from studies with student population reveal that there was
significant negative correlation between resilience and psychological distress. The
same conclusion revealed in a meta-analysis research by Mortazavi and Yarolahi
(2015) who studied several Iranian researches involving the variables in the country
demographics. Based on the significant conclusion, the existence of high resilience
in an individual correlated with low psychological distress.
1.5 Perceived Social Support
One of the biggest challenges that young adults face nowadays is interpersonal
relationship problem. It is a result of unfulfilled need for developing intense
interpersonal relationship with others. Individuals who have less intense interper-
sonal relationship tend to suffer from loneliness and isolation. Consequently, social
support is exceptionally important especially for young adults. Lee, Detels,
Rotheram-Borus, and Duan (2007) defined social support as individuals’ perception
about the availability of people who can make them feel loved, cared, and
respected.
In connection with psychological distress, Waldinger (2015) explained that
individuals with proper social relationship with their friend, family, or community
tend to have better mental health. Moreover, individuals with proper social support
also tend to be happier and having higher life expectancy. In addition, Pervin and
Ferdowshi (2016) conducted a survey and found that loneliness (lack of social
support) correlated positively with suicidal thoughts. In other words, individuals
who feel lonely carry a high risk of suicidal thoughts or even suicidal attempt.
2 Methods
2.1 Respondents
Respondents comprised of 1024 students (297 males, 727 females) from various
colleges in Indonesia. The convenience sample technique was used for collecting
data. The average age was 20.13 years old, with a range from 18 to 25 years old.
Regarding level of education, 41 respondents were pursuing a vocational degree,
967 respondents were pursuing a bachelor’s degree, and 16 respondents were
pursuing a master’s degree. All respondents were Indonesian citizen and be able to
use Bahasa Indonesia both verbal and written.
2.2 Measures
Psychological Distress. Psychological distress was measured by Hopkins Symptom

Checklist (HSCL-25). It is a screening tool designed to detect symptoms of anxiety
and depression. HSCL-25 consisted of 25 items. Each item is rated by 4-point
Likert scale on continuum of not at all (1) to extremely (4). The Cronbach’s alpha
reliability of HSCL-25 was 0.913.
Family Functioning. Family functioning was measured by Family Assessment
Device (FAD). It is abbreviated from 53-item to 44-item version. FAD measures
seven dimensions of family functioning. Six dimensions of FAD measure
dimensions in McMaster Model of Family Functioning (i.e., problem solving,

communication, roles, behavior control, affective involvement, and affective
responsiveness) and another measures general functioning. Each item is rated by
4-point Likert scale on continuum of strongly disagree (1) to strongly agree (5). The
Cronbach’s alpha reliability was ranged from 0.331 (roles), 0.589 (behavior con-
trol), 0.623 (problem solving), 0.623 (communication), 0.639 (affective involve-
ment), 0.675 (affective responsiveness), 0.639 (affective involvement), and 0.863
(general functioning).
Personality Traits. Personality traits were measured by Big Five Inventory-44
(BFI-44). It measures five dimensions of personality, namely extraversion, agree-
ableness, conscientiousness, neuroticism, and openness. This inventory consists of
44 items. Each item is rated by 5-point Likert scale on the continuum of strongly
disagree (1) to strongly agree (5). The Cronbach’s alpha reliability of BFI-44 scales
was ranged from 0.614 (agreeableness), 0.723 (openness), 0.773 (conscientious-
ness), 0.810 (extraversion), and 0.815 (neuroticism).
Optimism. Optimism was measured by Life Orientation Test-Revised (LOT-R)
developed by Scheier, Carver, and Bridges (1994). It is unidimensional inventory
consisted of 10 items, 3 items measure optimism (favorable items), 3 items measure
pessimism (unfavorable items), and 4 items served as fillers. Each item is rated by
6-point Likert scale on the continuum of strongly disagree (1) to strongly agree (6).
The Cronbach’s alpha reliability of LOT-R was 0.622.
Resilience. Resilience was measured by Connor-Davidson Resilience Scale
(CD-RISC 10). It is abbreviated from 25-item to 10-item version by Campbell-Sills
dan Stein (2007). CD-RISC 10 measured five dimensions of resiliency, namely
hardiness, support/purpose, faith, persistence, and cross-loading (Campbell-Sills &
Stein, 2007). Each item is rated by 5-point Likert scale on continuum of not true at
all (1) to true nearly all the time (5). The Cronbach’s alpha reliability of CD-RISC
10 was 0.853.
Perceived Social Support. Perceived social support was measured by Social
Provisions Scale (SPS). It measures six aspects of family functioning, namely
guidance, reliable alliance, reassurance of worth, attachment, social integration, and
opportunity if nurturance. This inventory consists of 24 items. Each item is rated by
4-point Likert scale on continuum of strongly disagree (1) to strongly agree (4). The
Cronbach’s alpha reliability of PSP scales was ranged from 0.530 to 0.775 and the
overall reliability was 0.91.
2.3 Procedure
Respondents were recruited using online questionnaire (Google form) and con-
ventional questionnaire booklet (using paper and pencil). This questionnaire
included some background information about the aims of the study, informed
consent, respondents’ demographic profile, and six inventories measured variables
of interest, such as psychological distress, family functioning, personality traits,
optimism, resilience, and perceived social support. All respondents participated in

conventional questionnaire were rewarded a pen and a notebook. Whereas
respondents participated in online questionnaire were rewarded a chance to get IDR
100,000 mobile recharge (7.5 US$) for the five luckiest respondents.
3 Results
3.1 Respondents Characteristics
According to Table 1, respondents in the recent study were 1024 college students
from various colleges in Indonesia. A total of 553 conventional questionnaires were
given to respondents, but 186 questionnaires were not be filled completely.
Meanwhile, 5 of 662 data from online questionnaire could not be used due to
discrepancy between respondents and characteristics required in the recent study.
Table 1 Respondents’ characteristic in the recent study (n = 1024)

Characteristics F % Characteristics F %
Sex Age
1. Male 297 29.00 1. 18 years old 123 12.00
2. Female 727 71.00 2. 19 years old 210 20.50
3. 20 years old 294 28.70
4. 21 years old 266 26.00
5. 22 years old 100 9.80
6. 23 years old 12 1.20
7. 24 years old 11 1.10
8. 25 years old 8 0.80
Marital status Ethnicity
1. Single 1015 99.10 1. Bataknese 72 7.03
2. Married 9 0.90 2. Minangese 77 7.52
3. Bantenese 23 2.25
4. Betawinese 39 3.81
5. Sundanese 177 17.29
6. Javanese 463 45.21
7. Chinese-Indonesian 35 3.42
8. Others 138 13.48
Education level Socioeconomic status
1. Vocational 41 4.00 1. Low 224 21.90
2. Bachelor 967 94.40 2. Middle 416 40.60
3. Master 16 1.67 3. High 384 37.50
Parents’ marital status Birth order
1. Married 892 87.10 1. First-born 187 18.30
2. Divorced 53 5.20 2. Middle child 334 32.60
3. Widowed 79 7.70 3. Last-born 284 27.70
4. Only child 219 21.40
Respondents’ age ranged from 19 to 25 years old, with a mean age of 20.13 years
old (SD = 1.34). Respondents consisted of 297 males (29%) and 727 females
(71%). The majority of respondents reported being single (99.10%). In regard to
ethnicity, the majority of respondents identified themselves as Javanese (45.21%).
In terms of education level, the majority of respondents were pursuing a bachelor’s
degree (94.40%). Regarding socioeconomic status, majority of respondents iden-
tified themselves as middle class (40.60%). The majority of respondents’ parents’
current marital status were married (81.7%). In terms of birth order, the majority of
respondents were middle children.
3.2 Correlational Analyses of Psychological Distress

on the Variables of Interest
Partial correlation was used to examine correlation between family functioning and
psychological distress. Table 2 shows significant negative correlation between
communication and psychological distress (r = −0.114, n = 1024, p < 0.01, two
tailed), and significant negative correlation between affective involvement and
psychological distress (r = −0.074, n = 1024, p < 0.01, two tailed).
Partial correlation was used to examine correlation between personality traits and
extraversion personality trait and psychological distress (r = −0.086, n = 1024,
p < 0.01, two tailed), and significant negative correlation between conscientious-
ness personality trait and psychological distress (r = −0.107, n = 1024, p < 0.01,
Table 2 Partial correlation Family functioning Psychological distress (r) Sig.

of psychological distress on
family functioning Problem solving 0.049 0.120
Communication −0.114 0.000**
Roles −0.023 0.470
Affective −0.023 0.465
responsiveness
Affective involvement −0.074 0.018**
Behavior control −0.040 0.205
Table 3 Partial correlation Personality traits Psychological distress (r) Sig.

personality traits Extraversion −0.086 0.006**
Agreeableness 0.024 0.448
Conscientiousness −0.107 0.001**
Neuroticism 0.437 0.000**
Openness 0.057 0.068
Table 4 Pearson correlation Variable Psychological distress (r) Sig.

optimism Optimism −0.303 0.000**

resilience Resilience −0.244 0.000**

perceived social support Perceived social support −0.270 0.000**
two tailed). Significant positive correlation was shown in correlation between

neuroticism personality trait and psychological distress (r = 0.437, n = 1024,
p < 0.01, two tailed).
Pearson correlation was used to examine correlation between optimism and
optimism and psychological distress (r = −0.303, n = 1024, p < 0.01, two tailed).
Pearson correlation was used to examine correlation between resilience and
resilience and psychological distress (r = −0.244, n = 1024, p < 0.01, two tailed).
Pearson correlation was used to examine correlation between perceived social
support and psychological distress. Table 6 shows significant negative correlation
between perceived social support and psychological distress (r = −0.270,
n = 1024, p < 0.01, two tailed).
4 Discussion
The objective of the recent study was to investigate potential risk and protective
factors for psychological distress among Indonesian college students. The result
indicated negative and significant relationship between family functioning (com-
munication and affective involvement dimensions), personality traits (extraversion
and conscientiousness), optimism, resilience, perceived social support, and psy-
chological distress. It also indicated positive and significant relationship between
neuroticism personality trait and psychological distress. These findings are sup-
ported by previous study.
Hovey and Seligman (2007) found that individuals who have proper family
support experience less anxiety and depression as compared to those who lack of
family support. Moreover, Taylor (2008) explained that individuals will feel loved,
respected, and cared if they have proper family support. Therefore, family support
plays an important role as protective factor for psychological distress.
Earlier study conducted by Shaheen, Jahan, and Shaheen (2014) also showed
that extraversion and conscientiousness had significant negative correlation toward
psychological distress; meanwhile, neuroticism had significant positive correlation.
However, in openness and agreeableness personality traits, the recent study showed
different results. Shaheen, Jahan, and Shaheen (2014) found that openness and
agreeableness correlated negatively toward psychological distress, whereas the
recent study proves that openness and agreeableness did not correlate significantly
toward psychological distress. These findings were supported by numerous previ-
ous studies which proved that these traits did not correlate significantly toward
psychological distress if they were not mediated by other variables (Bekker, Zee,
Lewig, & Dollard, 2006; Karsten et al., 2012).
Individuals with high extraversion tend to use rational problem-solving strategy
and seek social support. These characteristics make individuals with high
extraversion have lower risk of psychological distress (Shaheen, Jahan, & Shaheen,
2014). High-conscientiousness individuals are characterized by hard-working,
well-organized, and self-discipline (Costa & McCrae, 1994). These characteristics
make individuals with high conscientiousness more adaptive in their daily life, so
that individuals with high conscientiousness tend to have lower level of psycho-
logical distress. Neurotic individuals are more prone to negative emotions, such as
anger, sadness, anxiety, and self-doubt (Shaheen, Jahan, & Shaheen, 2014). It
means that those individuals who scored high on neuroticism significantly have
higher risk of psychological distress.
It was also clear from the results that there was significant negative correlation
between optimism and psychological distress. It means that those individuals who
scored high on optimism significantly experience less psychological distress. It is
supported by previous study conducted by Besser and Zeigler-Hill (2014) proved
optimism helps individuals to reappraise negative situations and makes them more
positive than before (Carver, Scheier, & Weintraub; Scheier & Carver in Besser &
Zeigler-Hill, 2014). Individuals with high-level optimism believe that they are able
to get positive outcomes (Scheier & Carver, 1985). Scheier, Carver, and Segerstorm
(2010) also found that individuals with high-level optimism tend to find the best
way to cope with stressful situation, therefore optimism can be protective factor
toward psychological distress.
The significant result of the study shared typical conclusion from previous
studies with student population, such as Bacchi and Licinio (2016) and McGillivray
and Pidgeon (2015). It is assumed that individuals with high resilience have the
qualities to minimize the distress impact. However, the low relationship coefficient
does not imply the cohesive and essential relationship between psychological dis-
tress and resilience in the resilience theory by Richardson et al. (1990). This result
raised assumptions that although individuals have the qualities to prevent upcoming
adversity, distress may experience by him/her. The coefficient also shows that
resilience process is not instant, and individuals can have both distress and resi-
lience while prevent the impact.
Earlier studies conducted by Vungkhanching et al. (2016) and Friedlander
(2007) also showed that there was significant negative correlation between
perceived social support and psychological distress. It is assumed that individuals

with high social support believe that they have people who can help them when
they are experiencing psychological distress. Otherwise, individuals with low social
support tend to perceive that they are unable to overcome psychological distress
because they are lack of proper resources. In consequence, perceived social support
can be a protective factor toward psychological distress.
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Parental Support to Develop
Entrepreneurial Characteristics
in Teenagers: Views on Self and Spouse
Jenny Lukito Setiawan
Abstract The aim of this study was to investigate the differences between fathers
and mothers in their views on self and spouse in support given to develop entre-
preneurial characteristics in teenage children. The study was conducted among 40
fathers and 77 mothers with children in the age of junior and senior high school.
Results showed that there was a significant difference between views on self and
spouse among mothers, t(76) = 4.08, p < 0.001. Mothers believed that they gave
higher support than their spouse in developing entrepreneurial characteristics in
their children. In the group of fathers, there was no significant difference between
views on self and spouse, t(39) = 0.48, p > 0.05. These findings suggest that
mothers and fathers have different views on self and spouse. Mothers tend to view
themselves as more supportive than their spouse. On the other hand, fathers do not
see themselves as more supportive or less supportive than their spouse.
Keywords Entrepreneurial characteristics Parental support Self

Spouse Teenagers
1 Introduction
Entrepreneurship education has become a hot topic over the last few years.
Entrepreneurship education has also been offered in many universities and some
primary and secondary schools in Indonesia. This demonstrates the increase in the
awareness of the importance of entrepreneurship in Indonesian education system.
The advancement of the education system, which pays more attention to
entrepreneurship, also indicates that the skills of entrepreneurship are very impor-
tant for younger generation.
J. L. Setiawan (&)
School of Psychology, Universitas Ciputra, Surabaya, Indonesia
e-mail: jennysetiawan@yahoo.com
URL: http://www.uc.ac.id

https://doi.org/10.1007/978-981-10-8034-0_17
296 J. L. Setiawan
It can be argued that entrepreneurship education is needed to develop not only

the skills of entrepreneurship but also personal characteristics. Setiawan (2008)
contended that knowledge and skills of entrepreneurship alone are not enough.
Individuals need to have entrepreneurial spirit and characteristics to actualize the
knowledge and skills. In line with this, Vega et al. (2016) mentioned that entre-
preneurial system of education that fosters creativity and innovation needs to be
boosted at all educational levels. This means that education system must focus on
developing not only the skills but also psychological characteristics as an entre-
preneur or entrepreneurial characteristics, such as creativity and innovation.
Having reviewed literature on entrepreneurship from Bolton and Thompson
(2004), Morris (1998), Hisrich et al. (2005), and Kirby (2003), Setiawan (2008)
found that entrepreneurship is greatly related to certain personal characteristics. She
summarized the personal characteristics of an entrepreneur, which include high
achievement motivation, perseverance and determination, ability to take calculated
risks, creative and innovative, independence or autonomy, and ability to accept and
manage changes. Therefore, entrepreneurship education should also focus on the
development of these personal characteristics.
Confirming the argument above, Chell (2008) declared that entrepreneurial
personality is a result of social construction. Chell maintained that social learning
and tacit knowledge are important mechanisms of social construction. Included in
social learning is observation of others’ behavior. As teenage children do interact
not only with teachers and peers but also with parents, therefore the process of
social construction of entrepreneurial characteristics in teenagers is also influenced
by parents. Consequently, the efforts of developing entrepreneurial characteristics
have also become the responsibility of parents, not only educational institutions
(Setiawan, 2008).
Building entrepreneurial personal characteristics—high achievement motivation,
perseverance and determination, ability to take calculated risks, creative and
innovative, independence or autonomy, and ability to accept and manage changes
—is not only carried out in entrepreneurship projects like what is done in school. As
entrepreneurial personality is the result of social construction (Chell, 2008),
entrepreneurial characteristics can also be developed through daily challenges that
children face in their lives. Parental support given to children in facing their daily
responsibilities and challenges should be directed to foster the development of the
entrepreneurial characteristics. Both emotional and instrumental support provided
by parents should be directed to generate entrepreneurial personal characteristics.
As parents are an important environment to develop personal characteristics of
their children, consistency of both parents (father and mother) is strongly needed.
Both father and mother should have the same direction in raising their children. In
other words, co-parenting becomes important. Co-parenting refers to coordination
between husband and wife in their shared responsibility of bringing up their chil-
dren (Cordova, 2009).
Sense of we-ness between father and mother, feelings toward partner, and
engagement of both father and mother in parenting are important components of
co-parenting, in addition to division of child care responsibilities (Cordova, 2009).
Parental Support to Develop Entrepreneurial … 297
Therefore, father’s positive feelings toward mother and mother’s positive feelings
toward father in their roles as a parent are important to build good co-parenting
relationships. These positive feelings will also lead to a stronger sense of we-ness
between father and mother.
It can be argued that positive feelings toward spouse in their role as a parent are
influenced by one’s view toward the degree of spouse’s involvement and the actual
practice of involvement in parenting daily activities. When the spouse is viewed as
less engaged or engaged in the wrong way, individuals will have negative feelings
toward their spouse. This also will lead to conflicts in the relationship.
Compared to studies on parental involvement and support in teenage children,
studies on parental involvement and support in young children are more popular.
Fewer studies focused on parental involvement in teenagers. In fact, parenting
young children is different from parenting teenagers. Therefore, studies investi-
gating parental involvement in teenagers need to be done. In parallel with this,
Phares et al. (2009) recommended more studies of adolescence in order to explore
more developmentally appropriate parenting for children in this life stage.
Little is known about the support parents give to their offspring in regard to
developing entrepreneurial characteristics. Past studies have often focused on
mother and father involvement in general parenting responsibility, such as school
work, discipline, daily care, and fun activities (Phares et al., 2009). As reviewed
earlier, entrepreneurial personal characteristics are built through emotional and
instrumental support in facing daily life challenges. Thus, studies on parental
support to promote entrepreneurial personal characteristics in young generation are
suggested.
The aim of the current study was to compare fathers and mothers’ views on self
and spouse in relation to support given to develop entrepreneurial characteristics in
their teenage children. Specific research questions are as follows:
(a) Are there any differences between fathers’ view on self and mothers’ view on
self in regard to support given to develop entrepreneurial characteristics in
teenage children?
(b) Are there any differences between fathers’ view on spouse and mothers’ view
on spouse in regard to support given to develop entrepreneurial characteristics
in teenage children?
(c) Are there any differences between view on self and view on spouse in regard to
support given to develop entrepreneurial characteristics in teenage children
across all parents?
(d) Are there any differences between fathers’ view on self and view on spouse in
regard to support given to develop entrepreneurial characteristics in teenage
children?
(e) Are there any differences between mothers’ view on self and view on spouse in
regard to support given to develop entrepreneurial characteristics in teenage
children?
298 J. L. Setiawan
The separation of father subjects and mother subjects was conducted to assess
possible gender influence between fathers and mothers. This method allowed the
researcher to get fathers’ report on their own involvement and their spouse’s
involvement, as past research often focused on mothers’ report alone. This current
study was a part of the larger research project entitled “The development of parental
support model based on marital relationships to develop entrepreneurial
self-efficacy.”
In regard to studies on father involvement, Coley and Morris (2002) as well as
Mikelson (2008) emphasized the importance of data collection efforts which
involve father respondents, not only mother respondents. This will prevent the
researcher from coming to biased conclusions of fathers’ involvement due to the
dependence on mothers’ report.
2 Method
2.1 Sample
The participants of this study consisted of 117 married individuals (40 fathers and
77 mothers). All participants are Indonesians, living in Surabaya, the second-largest
city of Indonesia, and surrounding areas. The respondents had teenage children in
junior and senior high school. The average age of respondents was 44.43 years. The
average length of marriage was 19.27 years. The details of demographic distribu-
tion are presented in Tables 1 and 2.
Table 1 Mean of age and marriage length

All respondents Father respondents Mother respondents
Mean of age 44.43 46.43 43.38
Mean of marriage length 19.27 18.42 19.71
Table 2 Working status of Respondents Working Self Spouse

respondents and spouses status (%) (%)
Father Full time 90 46.2
respondents Part time 5 20.5
Not working 5 33.3
Mother Full time 43.4 84.5
respondents Part time 25 14.1
Not working 31.6 1.4
2.2 Measurement
Parental support scale was constructed to measure the parental support given for the
development of children’s entrepreneurial characteristics. The items measuring the
support were constructed based on two types of support (emotional and instru-
mental support) to develop six entrepreneurial characteristics, including high
achievement motivation, perseverance and determination, ability to take calculated
risks, creative and innovative, independence or autonomy, and ability to accept and
manage changes. The sample of the items are “encouraging our child to get higher
achievement than before” and “discussing with our child to stimulate unusual
problem solving.”
Respondents were asked to rate the frequency of support they gave to their
children in developing entrepreneurial characteristics. They were also asked to rate
the frequency of support their spouse gave to their children. They were asked to rate
from 1 (never) to 5 (always). The total number of items was 24, consisting of 12
items for measuring their view toward their own support and 12 items for mea-
suring their view toward spouse’s support.
Reliability testing using Cronbach’s alpha showed that both parental support
scales were reliable. The Cronbach’s alpha coefficient of parental support scale
(view on self) was 0.890. The Cronbach’s alpha coefficient of parental support scale
(view on spouse) was 0.914.
3 Results and Discussion
Fathers’ view on self and mothers’ view on self in regard to support given to
develop entrepreneurial characteristics in teenage children are presented in Table 3.
As seen in Table 3, both fathers and mothers rated themselves above 4. This means
that both fathers and mothers view themselves as often providing support for their
teenage children to develop entrepreneurial characteristics. The t-test analysis
showed that there was no significant difference in view on self between fathers and
mothers.
Similarly, fathers’ view on spouse and mothers’ view on spouse in regard to
support given to develop entrepreneurial characteristics in teenage children are
presented in Table 3. Both fathers and mothers rated their spouse above 4. This
Table 3 Comparisons of fathers’ and mothers’ view on self and spouse in regard to support to
develop entrepreneurial characteristics in teenage children
Concept to measure Mean fathers Mean mothers t-value p-value
View on self 4.27 (0.67) 4.42 (0.53) −1.33 0.186
View on spouse 4.25 (0.67) 4.12 (0.80) 0.86 0.392
Note Standard deviations in parentheses
300 J. L. Setiawan
means that both fathers and mothers perceive their spouse as often providing
support for their teenage children to develop entrepreneurial characteristics.
Comparison test between fathers and mothers in their view of spouse using t-test
showed no significant difference. In summary, there was no significant difference
between fathers and mothers in both view on self and view on spouse.
Table 4 shows the comparisons of views on self and views on spouse in three
different groups of respondents. As shown in Table 4, mothers’ view on self was
significantly higher than view on spouse. This means that mothers regarded
themselves as providing more support to their teenage children in developing
entrepreneurial characteristics. In the group of fathers, the comparisons showed no
significant difference. As mothers comprised 65.8% of the total respondents, there
was also a significant difference in the comparison of view on self and view on
spouse in the group of all parents.
Table 5 shows the comparisons of views on self and views on spouse in various
groups of mothers.
As shown in Table 5, both working mothers and not working mothers regarded
entrepreneurial characteristics than their spouse. Mothers with higher education
history and mothers with no higher education history also consistently regarded
entrepreneurial characteristics than their spouse. This means in general mothers
viewed their husband as lower than themselves in supporting the development of
entrepreneurial characteristics in their teenage children.
Table 4 Comparisons of view on self and view on spouse in regard to support to develop
entrepreneurial characteristics in teenage children
Group of respondents Mean view on self Mean view on spouse Matched p-value
pairs t-value
All parents 4.37 (0.58) 4.16 (0.76) 3.92 0.000a
Fathers 4.27 (0.67) 4.25 (0.67) 0.48 0.636
Mothers 4.42 (0.53) 4.12 (0.80) 4.08 0.000a
a
p < 0.001
Table 5 Comparisons of view on self and view on spouse in various groups of mothers
Group of respondents Mean view on self Mean view on spouse Matched p-value
pairs t-
value
Working mothers 4.43 (0.50) 4.13 (0.82) 3.066 0.003a
Not working mothers 4.42 (0.58) 4.11 (0.80) 2.88 0.009a
Mothers with higher 4.39 (0.52) 4.06 (0.84) 3.11 0.003a
education history
Mothers with no higher 4.48 (0.54) 4.23 (0.73) 3.091 0.005a
education history
a
p < 0.01
Having looked through the study results, there are two possibilities to explain the
results. Firstly, fathers tend to be less involved in supporting their teenage children
in developing entrepreneurial characteristics, but they are unaware of it. Although
there was no significant difference in view on self between fathers and mothers, the
mean score of mothers tended to be higher than the mean score of fathers (see
Table 3). This possibility is supported by the previous study of Phares et al. (2009),
which found a significant difference between the mean hours of involvement of
fathers and mothers. The study showed that fathers spend less total number of hours
to have direct interaction weekday, direct interaction weekend day, accessibility
weekday, and accessibility weekend day. Phares et al. maintained that families with
adolescents also show a significant discrepancy between fathers’ and mothers’
involvement with their children.
Fathers’ less support to their teenage children may be related to some reasons.
Fathers may hold a traditional belief that every matter related to the child is the
mother’s responsibility. Therefore, parenting is the role of mothers. Fathers may see
themselves as solely having responsibility as the breadwinner in the family. On the
other side, fathers’ less support may also be aggravated by mothers’ condescending
attitude. McBride and Rane (1998) found that mothers’ emotional appraisal of
spouse’s parenting is one of the predictors of father involvement. This means that
mother’s negative attitude toward spouse’s parenting inhibits father involvement. In
line with that, Cordova (2009) explained that co-parenting becomes a challenge
when one of the parents feel his/herself as more expert in parenting, thus inhibiting
the spouse to get further involved. Looking at the context of study in Indonesia,
where the traditional parenting values are still adopted, it is possible that mothers
view themselves as more proficient in dealing with their children.
Secondly, fathers may have already been involved in giving support in devel-
oping entrepreneurial characteristics, yet fail to be recognized or acknowledged by
their spouse. Previous studies also showed that mothers tend to underestimate
fathers’ involvement in their children’s matters (Mikelson, 2008). Mothers’ failure
to recognize or acknowledge fathers’ involvement may be caused by the differences
of standard and ways of supporting. Mothers may develop a higher standard of
support than fathers, and mothers may evaluate fathers using their own standard of
evaluation.
Higher standard imposed by mothers was also shown in the study by Phares
et al. (2009). In their study, Phares et al. (2009) found that mothers’ satisfaction was
related to higher fathers’ responsibility in all four domains, including school work,
discipline, daily care, and fun activities; whereas fathers’ satisfaction was related to
fathers’ responsibility in only two domains, including area of discipline and fun
activities. A study by Coley and Morris (2002) also suggested that mothers have
higher standards or expectations of fathers’ contribution in parenting. This dis-
crepancy of expectations and ways of supporting will lead to mothers’ negative
feelings toward fathers. Therefore, parents (father and mother) should build good
communication and discussion on parenting to reach an agreement on the ways of
supporting their teenage children.
302 J. L. Setiawan
4 Implications and Limitations of the Study
The results showed that mothers rated their spouse lower than they rated themselves
in regard to support given to develop entrepreneurial characteristics in their off-
spring. Stemming from this result, dream sharing of the goal of parenting, com-
munication, and coordination between both parents is encouraged. Mothers who
commonly have a higher standard of parenting need to share their expectations to
their spouse. Mothers also need to convey spouse’s ways of parenting which do not
fit their ideal. Similarly, fathers who may have different beliefs and values should
also share their views. Thus, they can reach mutual understanding and agreements.
The mutual understanding and agreements will help both mothers and fathers to
appreciate what their spouse does to their children. Additionally, mothers and
fathers can work as a team and build the sense of we-ness. This good parenting
alliance is very important in building entrepreneurial personal characteristics in
children.
There are some limitations of the current study. Firstly, the sample included in
this study was married individuals. They were husbands and wives, but they were
not in the same marriage. Thus, mothers’ view of spouse in this study is not
comparable with fathers’ view of self. Similarly, fathers’ view of spouse in this
study is not comparable with mothers’ view of self. The use of matched pairs which
represent fathers and mothers who have the same biological child as conducted in
the study of Coley and Morris (2002) will make the comparisons possible.
Another additional limitation in the study is related to the indirect data of support
given to children. The current study examined the views of parents and spouse
which may not really represent the real support received or felt by the teenage
children. Exploring the view of teenage children as the recipient of support may
help to reduce the possibility of bias from mothers and fathers. This is what Phares
et al. (2009) suggested in their study.
Acknowledgements The author is very grateful for the help of married individuals who partic-
ipated in this study. This study was made possible by the research funding from the Ministry of
Research, Technology and Higher Education of the Republic of Indonesia.
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among low-income minority families. Journal of Marriage and Family, 64(4), 982–997.
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involvement. Journal of Marriage and Family, 70(3), 613–624.
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organizations, and societies. Westport, Connecticut: Quorum Books.
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New Approaches in Educational Research, 5(2), 123–129.
Imaging Capability, Absorption, Anxiety,
Positive and Negative Affect: A Guided
Imagery Intervention
Shanmukha Priya Vemu and Geeta Sunkarapalli
Abstract The purpose of this study was to examine the relationship between
Absorption, the factors of imaging capability, i.e., Vividness of Visual Imagery and
Visual Imagery Control, Trait anxiety and the differences in State Anxiety, State
Positive Affect and State Negative Affect after the provision of a Guided Imagery
intervention. The study was conducted on 30 female final year undergraduates, and
an intervention based research model was implemented. The Vividness of Visual
Imagery Questionnaire (Marks in Br J Psychol 64:17–24, 1973), Test of Visual
Imagery Control (Gordon in Br J Psychol Gen Sect 39(3):156–167, 1949) and
Tellegen Absorption Scale (Tellegen and Atkinson in J Abnorm Psychol 83(3):268,
1974) were administered to the participants to assess their imaging capability and
their tendency towards absorption. A guided imagery track from the Academy of
Guided Imagery was utilised for the intervention. The State-Trait Anxiety Inventory
(Spielberger and Gorsuch in State-trait anxiety inventory for adults: manual,
instrument, and scoring guide. Mind Garden, Incorporated, 1983) and The Positive
and Negative Affect Schedule (Watson et al., in J Abnorm Psychol 97(3):346,
1988) were also employed.
Keywords Visual imagery Absorption Guided imagery Anxiety
1 Introduction
College life is characterised by inevitable stress. Students face a combination of

anxiety-inducing factors such as making difficult career choices, peer and parental
pressure, feelings of incompetence and the lack of motivation to learn. These factors
S. P. Vemu (&) G. Sunkarapalli

Department of Psychology, St. Francis College for Women, Hyderabad, India
e-mail: vvsshanmukhapriya@gmail.com
G. Sunkarapalli
e-mail: geeta11070@gmail.com

https://doi.org/10.1007/978-981-10-8034-0_18
306 S. P. Vemu and G. Sunkarapalli
impact them and can lead to consequences such as depression, anxiety, stress, risky
sexual behaviour, substance abuse, physical illness and in extreme cases, suicidal
ideation.
Studies conducted in the United Kingdom showed that the prevalence of mental
illnesses or psychological problems within the student population is as high as 40%
with the most common problems being depression or anxiety. Research in other
parts of the world has also recognised a significant amount of stress among
undergraduate students (Ibrahim, Dania, Lamis, Ahd, & Asali, 2013; Teh, Ngo,
bintiZulkiffii, Vellasamy, & Suresh, 2015). A study conducted by Mohan (2015)
concentrates on the environmental sources of stress in students’ lives and has
revealed that high expectations from teachers and pressure from parents are the
biggest sources of stress followed by family factors such as lack of parental support
and financial factors like insufficient funds to pay for higher education. Studies
which have compared gender and stress showed significant differences in the level
of stress in both genders, with females exhibiting higher stress levels when com-
pared to males (Baum & Grunberg, 1991; Waghachavare, Dhumale, Kadam, &
Gore, 2013). Females are also more likely to view their stress negatively than men
(Brazelton, Greene, & Gynther, 1996) and are more prone to reporting their stress
as unacceptable (Campbell, Svenson, & Jarvis, 1992). In studies which investigated
the interaction between gender and STAI scores, females scored significantly higher
in terms of anxiety (Bekker & van Mens-Verhulst, 2007; Hishinuma, Miyamoto,
Nishimura, & Nahulu, 2000; Misra & McKean, 2000). To get a wholesome
understanding of the features of stress in undergraduate students, it is essential to
study the behavioural responses or the coping strategies used by students to deal
with anxiety. Three general strategies or styles of coping with stressful situations
have been identified by Kohn, Hay, & Legere (1994), which are: (a) prob-
lem-focused coping, directed at remedying a threatening or harmful external situ-
ation; (b) emotion-focused coping including ventilating, managing, or relieving
one’s emotional response to such a situation; and (c) avoidance-focused coping
which involves attempts to remove oneself mentally or even physically from
threatening or damaging situations. Avoidance focused coping has been shown to
be positively correlated with higher frequency and a higher degree of stress. There
is, however, no significant correlation between emotion-focused coping,
problem-focused coping and higher levels and frequency of stress (Dwyer &
Cummings, 2001). To help students in effectively managing the enormous amount
of stress that they have to face in their life, interventions like yoga, meditation,
guided imagery, etc., can be provided as they will improve mood and will reduce
tendencies of avoidance-focused coping. Guided imagery, one of the recently
invented methods of relaxation is a beneficial technique used to alleviate stress. It is
a mind-body intervention which helps concentrate the mind on positive images in
an attempt to reduce pain and anxiety. It has a plethora of benefits which include
reduced stress, lower levels of blood pressure and increased relaxation. It is also
used to help students achieve their goals by helping them visualise their plans.
However, the effectiveness of a guided imagery intervention varies from one
individual to another, and the factors on which its success is dependent have not yet
Imaging Capability, Absorption, Anxiety, Positive … 307
been ascertained. To ensure that the receiver of the intervention derives maximum
benefits from the intervention, these factors have to be determined.
Richardson (2013) states that mental imagery refers to “(1) all those
quasi-sensory or quasi-perceptual experiences of which we are self-consciously
aware, and which exist for us in the absence of those stimulus conditions that are
known to produce their genuine sensory or perceptual counterparts, and which
(4) may be expected to have different consequences from their sensory or perceptual
counterparts.” The ability to successfully generate mental imagery depends on the
factors of vividness of visual imagery and visual imagery control. Vividness of
visual imagery is defined as a construct expressing the self-rated degree of richness,
amount of detail (resolution), and clarity of a mental image, as compared to the
experience of actual seeing (D’Angiulli & Reeves, 2007). There have been studies
which have already established an association between vividness of visual imagery
and relaxation during guided imagery interventions (Walker et al., 1999; Watanabe,
Fukuda, & Shirakawa, 2005; Watanabe, Fukuda, Hara, & Maeda, 2006). These
studies have showcased that there is a significant difference in the degree of
reduction of stress in people who experience vivid imagery and those who don’t,
with people having higher vividness of visual imagery ability showing higher rates
of relaxation after the provision of the intervention. However, the capacity to
visualise vivid images is not the sole factor of imaging ability, and therefore the role
of visual imagery control in the process of relaxation through guided imagery
techniques must be considered. This view can be further supported by Richardson’s
(1977) stance that research on imagery must always study both aspects of imaging
ability. Childers, Houston, & Heckler, (1985) defined imagery control as the
individual’s ability to self-generate a mental image and to perform certain manip-
ulations, such as mental rotation. Many personality characteristics are studied in
relation with controllability. For example, Gordon (1949) distinguished participants
by their imaging style which may be either autonomous imagery or controlled
imagery.
Other factors such as a person’s disposition and motivation towards participation
in guided imagery interventions also play a significant role in the degree of
relaxation that they experience after the intervention. Techniques like guided
imagery require experiential involvement and the ability to be “immersed” in
activities, “captured’ by feelings, “absorbed” in imagery and dreams, “riveted” by
interactions with others, and so on. The participant should be motivated and capable
of engaging in images constructed during the intervention so that it can lead to
complex psychological states. In the absence of such a trait, the participant will not
be able to benefit from the intervention fully. High rates of absorption evince such
an ability. Absorption is defined as an “openness to absorbing and self-altering
experiences” (Tellegen & Atkinson, 1974). Individuals with low absorption capa-
bilities find it difficult to break away from structure through imaginal strategies and
to indulge in creatively demanding activities. In contrast, people with
high-absorption capabilities tend to adopt an experiential mode of functioning,
characterized by the readiness to experience attentional objects for their own sake
and to fully elaborate their meaning outside the context of instrumental plans, goals
and performance calibration (Wild, Kuiken, & Schopffiocher, 1995) and therefore
are better at immersing in imaginal processes. This theory can be further proven by
a study conducted by Glisky, Tataryn, Tobias, Kihlstrom, & McConkey (1991) in
which it was indicated that the scores on the Tellegen absorption scale were most
closely associated with the subscales of the Coan and McCrae-Costa’s openness
measures that related to aesthetic sensitivity, unusual perceptions and associations,
fantasy and dreams, unconventional views of reality, and awareness of inner feel-
ings. Absorption and imaging ability may, therefore, be regarded as conducive to
relaxation during guided imagery interventions.
Previous studies on relaxation techniques like progressive muscle relaxation,
spontaneous cognitive strategies and mindfulness (Chaves & Brown, 1987;
Mascioli, 2014; Rasid & Parish, 1998) have utilised state anxiety measures to
observe immediate changes in anxiety levels after the provision of an intervention
session because of their sensitivity to differences in stress. State anxiety has been
defined as an unpleasant emotional response while coping with threatening or
dangerous situations (Spielberger & Gorsuch, 1983), which includes cognitive
appraisal of threat as a precursor for its appearance (Lazarus, 1991). Spielberger,
Sydeman, Owen, & Marsh (1999) characterized trait anxiety as a general disposi-
tion to experience transient states of anxiety. State anxiety was chosen as a variable
in this study because of its potential to assess anxiety at any given point of time.
Trait anxiety was included, to examine the prevalence of anxiety as a disposition in
students and also to investigate its impact on state anxiety levels.
Along with aiding in anxiety reduction, guided imagery is also used as a mood
enhancing technique and therefore the measurement of affect is essential. The two
dominant dimensions of emotional experience are positive and negative affect.
positive affect reflects the extent to which a person feels enthusiastic, active, and
alert. High positive affect is a state of high energy, full concentration, and plea-
surable engagement, whereas low positive affect is characterized by sadness and
lethargy (Jorm, 2001). A study conducted on 254 undergraduate students indicated
a significant positive correlation between grit, positive affect, happiness and life
satisfaction (Singh & Jha, 2008). Positive affect has also been identified as nega-
tively correlated with depression (Watson, Clark, & Carey, 1988a). In contrast,
negative affect is a general dimension of subjective distress and unpleasurable
engagement that subsumes a variety of aversive mood states, including anger,
contempt, disgust, guilt, fear, and nervousness, with low negative affect being a
state of calmness and serenity (Watson, Clark, & Tellegen, 1988b). Previous
research has indicated that negative affect broadly correlates with depression and
anxiety and acts as a general predictor of psychiatric disorders (Watson & Clark,
1984; Watson et al., 1988a, b). With regard to the relationship between positive
affect and negative affect, it has been proven that there is a significant negative
correlation between state positive affect and state negative affect but zero correla-
tion between trait positive affect and trait negative affect (Diener, Larsen, &
Emmons, 1984; Schmukle, Egloff, & Burns, 2002; Watson & Clark, 1997; Watson
et al., 1988a, b).
The present study thusaims to discern the relationship between imaging capabil-
ities, absorption and the alleviation of state anxietyand negative affect and the boost in
positive affect after a guided imagery intervention. This assumption can be supported
by previously conducted investigations according to which vividness of visual ima-
gery has a significant influence on the relaxation experienced by the participants after
the provision of guided imagery interventions (Watanabe et al., 2006). The existence
of significant levels of positive correlation between vividness of visual imagery and
visual imagery control may indicate the latter’s relationship with the relaxation
experienced by participants in the guided imagery intervention. Absorption has been
used to study the relationship between people’s personality and dispositions and
relaxation experienced in therapeutic interventions. State anxiety, state positive affect
and state negative affect have been used in previous research because of their sensi-
tivity to even the slightest changes in anxiety, positive and negative affect (Chaves &
Brown, 1987; Mascioli, 2014; Rasid & Parish, 1998) and thus the combination of
these three will indicate the success of the intervention.
1.1 Research Questions
1. Is there any difference in the levels of state anxiety, state positive affect and state
negative affect after the provision of the guided imagery intervention?
2. Is there any relationship between vividness of visual imagery, visual imagery
control, absorption and the differences in state anxiety, state positive affect and
state negative affect pre and post intervention?
1.2 Objectives
1. To examine whether guided imagery reduces levels of state anxiety and state
negative affect and improves state positive affect post intervention.
2. To investigate if there is a relationship between vividness of visual imagery,
visual imagery control, absorption and the differences in state anxiety, state
positive affect and state negative affect pre and post intervention.
1.3 Hypotheses
H1. There will be a significant decrease in state anxiety after the provision of the
guided imagery intervention.
H2. There will be a significant increase in state positive affect after the provision
of the guided imagery intervention.
H3. There will be a significant decrease in state negative affect after the provision
of the guided imagery intervention.
H4. There will exist a significant correlation between vividness of visual imagery
and difference in state anxiety pre and post the intervention.
and difference in state positive affect pre and post the intervention.
and difference in state negative affect pre and post the intervention.
H7. There will exist a significant correlation between visual imagery control and
difference in state anxiety pre and post the intervention.
difference in state positive affect pre and post the intervention.
difference in state negative affect pre and post the intervention.
H10. There will exist a significant correlation between absorption and difference in
state anxiety pre and post the intervention.
state positive affect pre and post the intervention.
state negative affect pre and post the intervention.
H13. There will be a significant correlation between vividness of visual imagery
and visual imagery control.
H14. There will be a significant correlation between Vividness of visual imagery
and absorption.
H15. There will be a significant correlation between visual imagery control and
absorption.
H16. There will exist a significant correlation between trait anxiety and difference
in state anxiety pre and post the intervention.
in positive affect pre and post the intervention.
in negative affect pre and post the intervention.
and trait anxiety.
trait anxiety.
H21. There will exist a significant correlation between absorption and trait anxiety.
H22. There will exist a significant correlation between the differences of the pre
and post intervention scores of state anxiety and state positive affect.
and post intervention scores of state anxiety and state negative affect.
and post intervention scores of state positive affect and state negative affect.
2 Method
2.1 Research Design
The present study is a quantitative study which has employed absorption and the
factors of imaging capability, i.e., vividness of visual imagery and visual imagery
control, and trait anxiety as its independent variables and state anxiety, state pos-
itive affect and state negative affect as its dependent variables. It adopted a pre-test,
post-test quasi experimental design and a correlational design. A within group
design was implemented to observe the changes in the anxiety, positive affect and
negative affect levels before and after the conduction of the intervention. The
statistical procedures that were utilized for data analysis include paired t-test and
correlation. Paired t-test was used to compute the differences in state anxiety,
positive affect and negative affect pre and post the intervention and correlation
helped ascertain the relationship between the variables.
2.2 Sample
Thirty female final year undergraduate students from St. Francis College for
Women, Hyderabad were selected to be a part of the sample.
• Inclusion Criteria:
– Age range of the subjects: 19–22 years
– Educational Qualifications: Pursuing final year of under graduation
– Gender: Female
• Exclusion Criteria:
– Students lacking proficiency in English
– Students who were unwilling to participate in all the three sessions.
2.3 Instruments
• Information Schedule
The participants were required to sign an informed consent form and provide
certain personal information including age, residence, religion, family related
details (family type, family size and living arrangements), physical health status
of the respondent and her family members, mental health status of the
respondent and her family members and a checklist of adverse experiences that
the respondent might have undergone.
• Vividness of Visual Imagery Questionnaire (VVIQ):
Constructed by David Marks, this self-report inventory was published in 1973
and was designed to assess the participant’s ability to visualise images vividly. It
is a valid and reliable psychometric measure with a mean alpha coefficient of
r = 0.89 as reviewed by McKelvie (1995). The VVIQ consists of 16 items
which are divided into four groups consisting of four items each. The participant
is asked to visualise the images either with eyes closed/opened and has to rate
the vividness of the visual images on a 5 point Likert scale with a score of 1
indicating a ‘Perfectly clear image which is as vivid as real seeing’ and a score
of 5 indicating “No image at all”.
• Test of Visual Imagery Control (TVIC):
The Test of Visual Imagery Control is used to evaluate an individual’s capability
to control and manipulate a visual image. It was originally developed by Gordon
in 1949. This measure has been widely used in research studies and has a
test-retest coefficient of r = 0.84 over a three-week interval (McKelvie &
Gingras, 1974) and internal consistency estimates of r = 0.77 to r = 0.84
(Hiscock, 1978). Initially, the test consisted of 11 items and was administered
orally. Richardson in 1969 added a 12th item to the instrument and suggested
the use of written rather than oral instructions. The 5 point Likert scale version
of the scale was used in this study with a score of 1 indicating that it is “Very
Easy” to manipulate the images and a score of 5 indicating that it is “Very Hard”
to manipulate the images.
• Tellegen Absorption Scale:
The Tellegen Absorption Scale is a paper-and-pencil test which was devised by
the American psychologist Auke Tellegen along with Gilbert Atkinson in 1974.
It measures the personality trait of Absorption which refers to a person’s dis-
position to get absorbed in their mental imagery, particularly fantasy. The scale
has high levels of internal reliability (r = 0.88) and also high test-retest relia-
bility (r = 0.91). One’s absorption ability is measured by 34 true/false
self-report items by assigning a value of 1 to all the “True” items and a value
of 0 to all the “False” items.
• State-Trait Anxiety Inventory (Form Y) (STAI):
It is a commonly used measure of anxiety which was created by Charles
Spielberger, R. L. Gorsuch, and R. E. Lushene in 1983 based on the state-trait
distinction proposed by Raymond Cattell in 1961. The form Y version of the
scale was used in this study. Considerable evidence supports the strength of the
psychometric properties of the scale. Its internal consistency is reported to range
from 0.86 to 0.95 and the test-retest reliability coefficients have ranged from
0.65 to 0.75 over a 2-month interval. The scale consists of 20 state anxiety items
and 20 trait anxiety items. The state anxiety items are measured on the basis of a
4-point Likert scale with a value of 1 indicating “Not at all” and a value of 4
indicating “Very much so”. 10 of the 20 items are anxiety present items and are
reverse scored and the rest are anxiety absent items which are direct scored. The
trait anxiety scale of STAI also consists of 20 items with 11 anxiety present
items which are directly scored and 9 anxiety absent items which are reverse
scored. The items, like the state anxiety scale are assessed on a 4-point Likert
scale with a score of 1 representing “Almost Never” and a score of 4 repre-
senting “Almost Always”.
• Positive and Negative Affect Schedule (PANAS):
The PANAS is a test of general affective states. It was constructed by Dr. David
Watson and Dr. Lee Anna Clark in 1988. The measure comprises of two mood
scales i.e., Positive affect and Negative affect. It can be used to ascertain both the
state and trait positive and negative affect. For the purposes of this study, the
instrument was used to compute the state positive and state negative affect of the
participants. The PANAS consists of a total of 20 items, each affect scale
containing 10 items. The scores of both the scales are measured with the help of
a 5-point Likert scale. A value of 1 represents” Not at all “or “Very Slightly”
and a value of 5 represents “Extremely”.
• Guided Imagery Tracks:
Two tracks from a Guided Imagery Audio CD titled “Stress free Moments” were
used to conduct the intervention. The Audio was created and narrated by Dr. David
Bresler from the Academy of Guided Imagery. The first track called “Release
Worries” focused on creating an imaginary, magic trash can which could collect all
of the mind’s fears, concerns, anxieties and worries and either de-juice (the
emotional aspect of the worries is removed so that the person can address his
worries but not get emotionally affected), filter (all the worries and fears are filtered
so that only those worries which are significant are retained) or freeze (pause the
worries till such time when the person gathers enough emotional strength to
address them again) them. The second track called “The Sanctuary” concentrated
on creating a safe place in the participants’ minds which is devoid of distress and
which they can visit whenever they feel the slightest amount of anxiety. The
duration of both the tracks put together was 20 min.
3 Procedure
The self-report inventories and the tracks that had to be utilized for the intervention
were identified and chosen according to the requirements of the study after which
preparations were made for data collection. Two sets of questionnaires were pre-
pared. The first set included the informed consent form, the information schedule,
Tellegen’s absorption scale, the vividness of visual imagery questionnaire, the trait
anxiety questionnaire and the test of visual imagery control. The second set con-
tained the state anxiety questionnaire and the positive affect and negative affect
schedule. Final year undergraduate students from St. Francis College for Women
were contacted and were informed about the study. They were made aware of the
fact that they had to take part in 3 sessions of an intervention with each session
lasting for a period of 45 min. Students who agreed to participate were given the
first set of questionnaires. The very next day, after the collection of the 1st set of
questionnaires, the intervention process was initiated. The students were given the
second set of questionnaires which included the state anxiety questionnaire and the
positive and negative affect schedule and were asked to fill it. 10 min were given to
fill both the forms. After all the students completed the questionnaires, the students
were urged to pay attention to and follow the instructions given by the narrator of
the track. Upon ensuring that the participants understood the procedure, the tracks
were played. The duration of the tracks was 20 min after which the students were
given another set of the same questionnaires i.e., the State anxiety questionnaire and
positive and negative affect schedule. This process was repeated for two consec-
utive sessions and the collected data was analyzed.
4 Intervention Procedure
The students were called into a quiet room for the intervention and a rapport was
established with them so that they could feel comfortable. The State anxiety
questionnaire and the state version of the positive and negative affect schedule
(PANAS) were administered to them which took them about 15 min to complete.
The students were then asked to listen to an audio track and follow the instructions
given by the narrator. The guided imagery track lasted for a period of 20 min after
which the state anxiety questionnaire and the PANAS were re-administered. This
process was repeated for two more sessions, with each session lasting for a period
of 45 min. The sessions were scheduled onto three consecutive days.
5 Statistical Analysis of the Data
The means of the pre and post intervention scores were computed and a paired—
t test was conducted on them to check if there is a significant difference in the
anxiety, positive affect and negative affect levels, before and after the intervention.
Pearson’s product moment correlation was also conducted to study the relationship
between the variables.
6 Results
The results exhibited by Table 1 show that there exist significant differences in the
levels of state anxiety, state positive affect and state negative affect pre and post the
intervention (p < 0.001). There is a considerable reduction in the levels of state
anxiety and state negative affect after the provision of the guided imagery inter-
vention. There is also a marked improvement in state positive affect post the
intervention.
The results in Table 2 show that there is a significant positive correlation
between vividness of visual imagery and visual imagery control (r = 0.75,
p < 0.01), vividness of visual imagery and absorption (r = 0.43, p < 0.05) and
visual imagery control and absorption (r = 0.40, p < 0.05). There exists significant
negative correlation between increase in positive affect and vividness of visual
imagery (r = −0.39, p < 0.05) which would mean that participants with higher
ability to vividly visualise mental imagery experienced lesser increase in positive
affect post the intervention. A significant positive correlation was found between
trait anxiety and decrease in negative affect (r = 0.63, p < 0.01) which would mean
that there was a greater decrease in negative affect after the provision of the
intervention in participants exhibiting higher levels of trait anxiety. Decrease in
state anxiety post intervention significantly and positively correlates with increase
in positive affect (r = 0.39, p < 0.05) and also with decrease in negative affect
(r = 0.64, p < 0.01). This indicates that participants who experienced greater
decrease in state anxiety after the intervention also experienced greater decrease in
negative affect and a greater increase in positive affect.
Table 1 Showing results of the paired samples t-test of the pre and post intervention scores of
state anxiety, state positive affect and state negative affect
Pre-intervention Post-intervention Difference Standard t-value
mean mean of means deviation
Difference in pre and 39.89 28.09 11.800 4.334 14.912***
post-intervention
scores of state
anxiety
post-intervention
scores of state
positive affect
post-intervention
scores of state
negative affect
***p < 0.001
Table 2 Showing results of the correlation between vividness of visual imagery, visual imagery
control, absorption, trait anxiety and the differences in means of state anxiety, state positive affect
and state negative affect
Vividness Visual Absorption Trait Difference Difference Difference
of visual imagery anxiety in state in positive in negative
imagery control anxiety affect affect
Vividness – 0.75** 0.43* −0.19 0.03 −0.39* 0.09
of visual
imagery
Visual – 0.40* −0.02 0.22 −0.28 0.31
imagery
control
Absorption – −0.23 0.26 −0.14 0.14
Trait – 0.21 0.26 0.63**
anxiety
Difference – 0.39* 0.64**
in state
anxietyz
Difference – 0.21
in positive
affect
Difference –
in negative
affect
*p < 0.05
**p < 0.01
The results of the first session in Table 3 show that there exists a significant
negative correlation between trait anxiety and decrease in state anxiety (r = −0.43,
p < 0.05), a significant negative correlation between vividness of visual imagery
and increase in positive affect (r = −0.53, p < 0.01) and a significant positive
correlation between trait anxiety and decrease in negative affect (r = 0.51,
p < 0.01). The results of the second session indicate a positive correlation between
trait anxiety and decrease in state anxiety (r = 0.47, p < 0.01) and trait anxiety and
decrease in negative affect (r = 0.50, p < 0.01). The results of the third session do
not display any significant correlation.
Figure 1 shows that there was a significant decrease in state anxiety after the
provision of the guided imagery intervention during all the three sessions. The
pre-intervention score for state anxiety during the first session was 46.83 which was
reduced to 27.67. During the second session, the pre-intervention score was 37.4
and the post-intervention score was 27.93. The participants experienced a mean
pre-intervention score of 35.43 during the first session and a mean post-intervention
score of 28.67.
Figure 2 shows that there was a significant improvement in state positive affect
after the provision of the guided imagery intervention during all the three sessions.
The participants received a mean pre-intervention score of 35.5 which increased to
38.9 after the intervention. During the second session, the pre-intervention score
Table 3 Showing results of the correlation between vividness of visual imagery, visual imagery
control, absorption, trait anxiety and the differences in state anxiety, state positive affect and state
negative affect for all three sessions
Differences Vividness Visual Absorption Trait
of visual imagery anxiety
imagery control
1st State Pearson’s −0.05 0.00 0.15 −0.43*
session anxiety correlation
coefficient
Positive Pearson’s −0.53** −0.29 −0.21 0.16
affect correlation
coefficient
Negative Pearson’s 0.18 0.18 −0.24 0.51**
affect correlation
coefficient
2nd State Pearson’s 0.04 0.19 0.19 0.47**
coefficient
Positive Pearson’s −0.26 −0.27 0.05 0.20
affect correlation
coefficient
Negative Pearson’s 0.19 0.27 0.32 0.5**
affect correlation
coefficient
3rd State Pearson’s 0.07 0.12 −0.1 0.30
coefficient
Positive Pearson’s 0.01 −0.01 −0.13 0.22
affect correlation
coefficient
Negative Pearson’s 0.17 0.20 0.19 0.31
affect correlation
coefficient
*p < 0.05
**p < 0.01
was 33.13 and the post-intervention score was 36.47. The pre-intervention score for
the third session was 33.53 and the post-intervention score was 36.97.
Figure 3 shows that there was a significant decrease in state negative affect after
the provision of the guided imagery intervention during all the three sessions.
During the first session, the participants experienced a mean pre-intervention score
of 15.67 which reduced to a post-intervention score of 12.1. The participants
received a mean score of 15.13 before the provision of the intervention during the
second session. Their post-intervention score during the same session was 12.23.
The pre-intervention score for the third session was 13.93 which was reduced to 12
after the intervention.
Fig. 1 Showing the differences in state anxiety pre and post the three sessions
Fig. 2 Showing the differences in state positive affect pre and post the three sessions
Fig. 3 Showing the differences in state negative affect pre and post the three sessions
7 Discussion
The present study demonstrates significant differences in the levels of state anxiety,
state positive affect and state negative affect pre and post intervention. State anxiety
levels before the intervention (M = 39.89) were significantly higher than the state
anxiety levels after the intervention (M = 28.09). The pre-intervention positive
affect scores of the participants were significantly lower (M = 34.06) than the
post-intervention positive affect scores (M = 37.44). There was also a marked
reduction in the negative affect scores with the pre-intervention scores (M = 14.91)
being significantly higher than the post-intervention scores (M = 12.11). An
investigation into the differences in the levels of state anxiety, state positive affect
and state negative affect in each of the three sessions also exhibit a marked
reduction in state anxiety and state negative affect and an increase in state positive
affect in all the three session. This would mean that the guided imagery intervention
was successful in alleviating state anxiety and state negative affect and in boosting
state positive affect. These findings can be further supported by earlier studies
which have used guided imagery as a means of relaxation (Walker et al., 1999;
Watanabe et al., 2005). The analysis has also revealed that the means of
post-intervention state anxiety, state positive affect and state negative affect have
remained relatively consistent over the course of all three sessions suggesting that
these post-intervention means indicate a stable level of relaxation which the par-
ticipants experience after undergoing the guided imagery intervention.
A highly significant positive correlation between vividness of visual imagery
and visual imagery control has been observed in this study. This would mean that
there is a substantial possibility that participants with higher vividness of visual
imagery also possess a higher capability to control and manipulate visual images.
With respect to the relationship between vividness of visual imagery and control of
visual imagery, Switras (1976) observed that controllability is the first stage of
imagery production and is, therefore, a stepping stone to vividness of visual ima-
gery. Only if a person can produce a target image, an ability which is assessed by
image controllability, will he/she able to focus on the vividness of the image. There
is no possibility of vividly visualising an image when an individual lacks the ability
to generate an image considering that he or she will not have an image to work
with. Therefore, this finding can be corroborated by the fact that controllability of
mental imagery is a pre-requisite for vividness of visual imagery. This can be
further supported by previous research (Anderson, 1983; Pratt, Cooper, &
Hackmann, 2004; Switras, 1976). Tellegen and Atkinson (1974) explained
absorption as a form of attentiveness that causes individuals to use all their cog-
nitive faculties to create representations of the attentional objects. It is due to this
reason that individuals scoring high on absorption can easily construct mental
representations. The findings of this study indicate a significant positive correlation
between absorption and vividness of visual imagery thus suggesting that partici-
pants with the personality trait of absorption were more likely to produce vivid
visual imagery during the intervention. These results thus support the
aforementioned theory. Absorption also correlates significantly and positively with

visual imagery control. Thisrelationship evinced by the current study can be
explained by the fact that vividness of visual imagery and visual imagery control
are corresponding concepts and therefore a significant relationship between vivid-
ness of visual imagery and absorption predicts a strong correlation between visual
imagery control and absorption. Contrary to previous research (Nelis, Vanbrabant,
Holmes, & Raes, 2012), the present study indicates a negative correlation between
positive affect and vividness of visual imagery which would mean that participants
with a higher vividness of visual imagery ability experienced lesser improvement in
positive affect when compared to their counterparts. Studies conducted earlier either
reported an improvement in positive affect or the absence of significant change after
the provision of the intervention. According to the results of the current study, there
exists a positive correlation between trait anxiety and difference in state negative
affect. According to Watson and Clark (1984), individuals experiencing high
negative affect are more likely to experience discomfort at all times and across all
situations as they are more introspective and dwell on the negative side of them-
selves and the world. These results can be further supported by a study conducted
by Ladd and Gabrieli (2015). The results also suggest that individuals who suffer
from higher levels of trait anxiety experience greater alleviation of negative affect
after the provision of the intervention. The above-mentioned study by Ladd and
Gabrieli (2015) also examined the relationship between state anxiety and state
positive and negative affect. The results showed that greater state anxiety correlated
significantly with higher negative affect scores on the PANAS and with lesser
positive affect scores on the PANAS. The results obtained in the current study are
consistent with these findings. An interesting finding to note is that the correlation
between state anxiety and state negative affect is significantly higher than the
correlation between state anxiety and state positive affect. Tellegen (1985) factor
analysed measures of anxiety, depression, negative affect and positive affect. The
depression and anxiety measures had significant loadings on both positive affect
and negative affect. However, the anxiety scale loaded more strongly on the neg-
ative affect factor whereas the depression scale was a much better marker of low
positive affect. Vividness of visual imagery, visual imagery control and absorption
have not had much influence on the reduction of state anxiety, state negative affect
and the improvement of state positive affect. This might be attributed to the
effectiveness of guided imagery interventions in universally inducing relaxation.
The present study, therefore, suggests that imaging capabilities and absorption are
not pre-requisites for the potential of guided imagery interventions to reduce anx-
iety and negative affect and improve positive affect. These findings are in contra-
diction with previously conducted research (Walker et al., 1999; Watanabe et al.,
2005, 2006). An analysis of the correlation between vividness of visual imagery,
visual imagery control, absorption, trait anxiety and the differences in state anxiety,
state positive affect and state negative affect for each session was carried out to
further verify the non-existence of significant relationships between the independent
and dependent variables. The results suggest that participants who exhibit higher
levels of trait anxiety experienced a significantly lower reduction in state anxiety
during the first session. This may be due to the fact that trait anxiety is a measure of
general disposition and therefore might have acted as an obstacle to the participants’
ability to relax. According to Hodges (1968), there exists a strong relationship
between trait anxiety and state anxiety only in situations wherein there is a danger
to the individual’s self-esteem. The fact that the participants were unaware of the
task that they would have to perform prior to the first session might have had an
impact on their decreased ability to relax. Fear of underperformance in the unknown
task might have grossly increased the impact of trait anxiety on state anxiety thus
resulting in the decreased ability of individuals having trait anxiety to experience
reduction in state anxiety. In stark contrast, the same participants experienced a
significantly high level of reduction in state anxiety after the conduction of the first
session. While referring to Hodges (1968) theory, one might say that since the
participants were aware of the task during the second session, this might’ve
changed the equation between trait anxiety and state anxiety and therefore must
have significantly contributed to the relaxation experienced by the participants. In
correspondence with the results mentioned in Table 2, the difference in positive
affect is negatively correlated with vividness of visual imagery. Extroverts usually
exhibit heightened emotional reactivity to positive mood induction when compared
to introverts (Larsen & Ketelaar, 1991). In contrast, vividness of visual imagery as a
trait is usually possessed by introverts (Wagele, 2009). This disparity might have
been the basis for the results reported in the current study. As reported by Ladd and
Gabrieli (2015) state negative affect has a very significant positive correlation with
state anxiety. The strength of this correlation can be ascertained from the fact that
there is consistency in the correlation results in the first session and the second
session. There are no significant correlations in the third session which suggests that
all the participants irrespective of the levels of vividness of visual imagery, visual
imagery control, absorption and trait anxiety experienced relaxation. This might
have been a result of the participants’ desensitisation to the audio track.
7.1 Limitations
A between group study with vivid and non-vivid imagers and high absorption and
low absorption individuals has not been conducted to fully ensure that imaging
capabilities and absorption are not imperative for guided imagery. Future research
can adopt this method to understand better the influence of these factors on the
amount of relaxation experienced by individuals.
7.2 Implications
The results of the t-test indicate that Guided imagery can be used as a relaxation
technique for students considering the significant decrease in anxiety, negative
affect and the improvement in positive affect after the provision of the intervention.
The current study also suggests that vividness of visual imagery, visual imagery
control and absorption are not pre-requisites for guided imagery and that the
intervention can be conducted on vivid and non-vivid imagers and individuals with
high and low absorption levels to induce relaxation.
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How Conceptual Metaphors Make
Political Iconography: A Focus Group
Discussion on the Psychological Aspects
Vishaka Venkat and Vinod Balakrishnan
Abstract Political cartoons constitute a critical interface of sociopolitical com-

munication. The cartoonist, who is a principal player in building sociopolitical
iconography, registers a historical moment by constructing a memory of the
political system. The cartoon being a mass medium, addresses directly, in a
recognisably metaphorical language; whereby, iconography circulates in the public
sphere. A psychological analysis of visual metaphors would enlighten one about the
process by which social perception develops and how public opinion gets config-
ured. Metaphors are capable of configuring the quotidian, and they also add a new
reference to the event. Political metaphors by the cartoonist present behavioural
templates; on the one hand, the gestures of the politicians are provided while on the
other, a cycle of thought and action is initiated within the readers; thus an icon is
built as well as an opinion is shaped. The conceptual metaphor theory by George
Lakoff and Mark Johnson in Metaphors We Live By (1980) supplies a framework to
understand how a cartoonist, utilising metaphors to build iconography, influences
public opinion. How are these metaphors directed? The authors employ focus group
discussion (FGD) and a survey among 35 students for a pilot study to analyse the
group perception and to study how the effect of iconography is played out.
A selection of 20 cartoons on the linguistic issue and state organisation, faced by
Jawahar Lal Nehru as portrayed by Shankar in ‘Don’t Spare Me Shankar’ (1983),
has been chosen for the study. How has Shankar portrayed the dilemma of Nehru?
What are the metaphors employed by the cartoonist for the pictorial representation?
How are these metaphors received by the group? The psychological investigation
through metaphors will initiate a probe into the way a cartoonist thinks and how he
V. Venkat (&) V. Balakrishnan

Department of Humanities and Social Sciences, National Institute of Technology,
Tiruchirappalli, India
e-mail: vishaka.venkat1992@gmail.com
V. Balakrishnan
e-mail: winokrish@yahoo.co.uk

https://doi.org/10.1007/978-981-10-8034-0_19
326 V. Venkat and V. Balakrishnan
affects the group perception and the process of building iconography. On the whole,
the paper will analyse the interaction between the cartoonist and the public through
metaphors.
Keywords Conceptual metaphor Political iconography Psychological impact
1 Introduction
The mind is inherently embodied. Thought is mostly unconscious. Abstract concepts are
largely metaphorical (Lakoff & Johnson, 1999, p. 3)
Marga Reimer and Elisabeth Camp’s definition of metaphor as a trope or figure of

speech by which ‘one thing is represented as something else’ (Camp & Reimer,
2006, p. 845) gives a précis of the early theoretical conceptualisation of metaphors
as a tool for figurative language; a poetic device which enhances rhetorical beauty
by camouflaging ordinary thoughts and presenting them as imaginative compar-
isons. Metaphorical analysis, key to hidden ideas and intuitions, became exclusive
to interpretation and practical criticism of poetic texts. The conceptual (cognitive)
metaphor theory of George Lakoff and Mark Johnson in The Metaphors We Live By
(1980) revolutionised the way metaphors were conceived, as they argued for the
whole system of thinking to be metaphorical in nature and not merely limited to
embellishing poetry. The metaphor, seen thus, is a pervasive thinking pattern
(Gibbs & Raymond, 2011) in our lives.
How are metaphors different from conceptual metaphors? Metaphors, on the one
hand, are more linguistic in nature and serve an exclusive function of addressing the
extraordinary. Conceptual metaphors, on the other hand, are pragmatic and are
intrusive in nature even as they confront the quotidian. While metaphors indicate
creativity, say, in literature, conceptual metaphors examine the commonness and
the thought process of humans in general. On the whole, conceptual metaphors
have a holistic orientation as they are omnipresent and are critical to building the
memory system by concretising the abstract. George Lakoff and Mark Johnson’s
Philosophy in the Flesh (1999) recognises the mind to be embodied and thoughts to
be unconscious. How are these unconscious thoughts embodied through experi-
ence? Through the study of conceptual metaphors, inadvertently, the process of
cognition is evaluated. Metaphors make ‘known experiences’ manifest as an object
of equivalence, and they mediate between the unconscious and embodied cognition
to construct a perception. As Andrew Ortony says:
Cognition is the result of mental construction. Knowledge of reality, whether occasioned by
perception, language, or memory, necessitates going beyond the information given. It arises
through the interaction of that information with the context in which it is presented and with
the knower’s pre existing knowledge. (Ortony, 1993, p. 1).
Metaphorical cognition, similarly, is constructed through language or memory

involving an interaction with the context and the subjective knowledge. This par-
ticular study sees how this process of reception in the public sphere happens through
How Conceptual Metaphors Make Political … 327
political iconography. Beginning by gauging its presence in language, conceptual

metaphor theory has been applied to several fields. How does the metaphorical
language of an image impact its audience? (Marín-Arrese, 2008; Negro, 2013;
Refaie, 2003; Thibodeau & Boroditsky, 2011). To address this question, the paper
studies how conceptual metaphors play a significant role in building political
iconographic memory through a semiotic study of political cartoons and their psy-
chological impact on the audience. Iconography [derived from two words: eikon
(image) and graphien (writing) (Straten, 1994)] is the study of image writing or
image describing. Political cartoons being emblematic and encapsulated represen-
tations of political situations communicate a certain amount of factual knowledge as
well as exaggerate the truth represented. As a mass medium, they directly com-
municate with the citizens through newspapers and periodicals aiding in the shaping
of public opinion and the building of an image about the political system. The study
of conceptual metaphors in political iconography, thus, would throw light on the
process of how political memory and icons are constructed.
A collection of twenty cartoons drawn by Shankar from ‘Don’t Spare Me
Shankar’ on the issue of demand for linguistic states has been selected for the study.
Considering the cartoonist to be the keeper of history, political cartoons document the
sociopolitical and cultural events to preserve a political memory and historical past of
a country. K. Shankar Pillai, father of Indian political cartooning, through Shankar’s
Weekly (also called India’s Punch) which ran from 1948 to 1975, was among the first
to chronicle post-independent Indian history. Most of his cartoons were on
Mr. Jawahar Lal Nehru (the first Prime Minister of India) portraying his dilemma
in building India as a nation which witnessed endless troubles during the demand for
language-based regional autonomy. Through this pilot study on metaphors, one can
gauge the cartoonist’s view towards the polity and validate the universality of con-
ceptual metaphors by analysing the audience response through focus group discus-
sion (eight members) and a survey (35 samples). The paper looks at the purpose of
employing metaphors in cartoons and how they act as conceptual metaphors,
which can answer questions like: Whose perspective do the cartoons represent? How
are conceptual metaphors directed? Is there a common framework for the conceptual
metaphors? And finally, how does the audience relate to the cartoons?
2 Metaphorical Thinking
The word ‘metaphor’ is composed of two words: meta (go beyond/crossover) and
pherin/phora (to carry or bear) (Bourke, 2014, p. 54), which exhibit its potential to
move beyond the apparent, bearing meanings which can infuse new insights and
intuitions. In Philosophy of the Rhetoric (1936), I. A. Richards’ division into ‘tenor’
and ‘vehicle’ (Russo, 2015) examined metaphors as a medium of comparison
affecting the rhetoric. The ‘sense’ metaphor and ‘emotive’ (Bilsky, 1952 p.130)
metaphor convey Richards’ dynamic approach to view metaphors as capable of
manipulating feelings. Weller Embler in Metaphor and Meaning (1966), inspired
from Michel Bréal’s Semantics (1900), expanded the notion of the universality of
metaphors, foreseeing it as a decisive tool for comprehension. Philip Wheelwright’s
‘diaphor’ in Metaphor and Reality (1968) saw the involvement of sociocultural
milieu that complemented the discernment of metaphor. Gradually, studies in
metaphor progressed from a communicative function to a cognitive aspect. Andrew
Ortony, Ralph E. Reynolds and Judith A. Arter in Metaphor: Theoretical and
Empirical Research (1978) emphasised the need for psychological theory as
metaphors exposed the way humans frame language. George Lakoff and Mark
Johnson’s The Metaphors We Live By (1980) witnessed a culmination of all the
features said above, as they argued for metaphors to be social, personal, intuitive
and directive in nature.
Lakoff and Johnson affirm metaphor to be the concepts to which one can relate
and are found, not just in language but in thought and action too, as they say, ‘Our
… conceptual system … is fundamentally metaphorical in nature’ (Lakoff &
Johnson, 2003, p. 3). For example when one involves in an argument, one tries to
‘defend’ one’s views; ‘counter-attack’ the perspectives of the ‘opponent’ to ‘win’
the argument. An analysis of the referents above suggests that an abstract concept
like ‘argument’ is equated with ‘war field’ (Lakoff & Johnson, 2003, p. 4). This
process of parallelism happens unconsciously, revealing that rather than labelling
language to be metaphorical, metaphors are the way by which one lives, thinks and
acts. This concept of parallel thinking was earlier suggested by Arthur Koestler in
his book The Act of Creation through ‘bisociation’1. Michael Reddy’s conduit
metaphor (1979), the forerunner of conceptual metaphor, considered any linguistic
expression to be ‘containers’ that communicated ‘mental contents’ (Lakoff &
Johnson, 2003, p. 10). The metaphor is a metalanguage which provides thinking
frames to discern hidden patterns. It takes the artist’s creativity to tap such meta-
phors and make them explicit.
Conceptual metaphors are sometimes structural, sometimes orientational and at
other times ontological (Lakoff & Johnson, 2003): (1) Structural metaphors explain
one structure in terms of another like ‘argument as war’, ‘time is money’ and
‘theories as buildings’. (2) Orientational metaphors involve spatial orientations, for
example the way one associates feelings and qualities with ‘up’ (good, life, pros-
perity) and ‘down’ (bad, death, poverty). (3) Ontological metaphors describe
experiences through objects, bodily parts or events using personification, meto-
nymy and synecdoche. All these metaphors have an ‘interactional and experiential’
(Lakoff & Johnson, 2003) basis which keep differing in the way they are used by
individuals. Marking the beginning of a socio-psychological probe into metaphors,
conceptual metaphors were further developed as conceptual blending2 by Gilles
1
The concept of bisociation explains the way mind associates an idea with two different fields,
which are probably unrelated. A pun is an example of bisociation.
2
Conceptual blending is a successor of bisociation and evaluates the cognitive process of blending
mental spaces from the generic space into a new blended space.
Fauconnier and Mark Tuner in The Way We Think: Conceptual Blending and the
Mind’s Hidden Complexities (2002).
3 Political Metaphor and Cognition
In ‘The World Outside and The Pictures in Our Heads’, Walter Lippman sub-
stantiates the power of media in shaping public opinion; political cartoons are no
exception. Following the theory of Max McCombs and Donald Shaw, political
cartoons act as the base for ‘agenda-setting3’, and they unknowingly exert influence
on the public which the authors term as ‘priming effect’4 (Coleman & Wu, 2015)
demonstrating the metaphor’s potential. Victor Ottati, Randall Renstrom and Erika
Price while discussing the efficacy of political metaphors in ‘The Metaphorical
Framing Model: Political Communication and Public Opinion’ have proposed the
metaphor framing model, which argues for the presence of ‘root metaphor’ (2014
p.179) (conceptual metaphor) invoking a political event. What are the root meta-
phors used by Shankar in his cartoons and how does it affect the receiver in shaping
an opinion towards polity? Though political cartoons are ‘multimodal’,5 (Bounegru
& Forceville, 2011) the study mainly focuses on visual metaphors. Similar to tenor
and vehicle, there are two domains in conceptual metaphors: the source domain and
the target domain (Lakoff & Johnson, 2003). While the former is concrete, the
target domain is abstract. Through the interaction between the target and the source
domains, the cognitive process and impact on the audience can be measured. In the
study, the linguistic issue is the target, and the metaphors used to describe them are
the sources.
Metaphors in political speeches illustrate the art of persuasion (Mio, 1997
p. 113). The metaphorical usage of seeing the nation as family and the leader as a
parent, who cares for the citizens and nurtures them as children, is commonplace
though effective as citizens easily relate to it. What kind of metaphors has Shankar
used in the cartoons? How has he represented Mr. Nehru and the nation? Ottati,
Renstrom and Price suggest different stages in cognising metaphors; they are pri-
marily: metaphor activation (where root/conceptual metaphor is kindled) and
metaphor application (the storyline in which it is applied) (Ottati, Renstrom, &
Price, 2014 p. 184). The way metaphors are triggered depends on the context and
the platform for interaction. The stages of systematic processing of metaphor
cognition are: ‘information seeking, selective information processing, interpretation
3
Agenda-setting theory asserts the power of media and their influence in prioritising news as well
as shaping public opinion through their news coverage.
4
Priming (memory effect) is a study in psychology which examines how the triggering of one
stimulus results in the reaction to another stimulus.
5
Charles Forceville’s multimodal metaphors (Forceville & Urios-Apraisi, 2009 p. 3) explain the
involvement of different modes in metaphors (like the visual and the verbal). The target and the
source domain in multimodal metaphors are presented through multiple levels of perception.
Fig. 1 Focus model
of ambiguous information; as well as metaphor-guided attribution, inference, and

elaboration’ (Ottati et al., 2014 p. 180); political cartoons seek information, and
the cartoonist makes a selection of the information that has to be projected. The
message is communicated in an ambiguous manner and inferred by the public. The
metaphors act as information-processing tools and create a political reality. As
Edelman says ‘metaphors form a pattern of perception to which people respond’
(qtd. in Goatly, 2007, p. 30) and can easily generate a psychological reactance. The
arrest of Ambikesh Mahapatra after the circulation of political cartoons of the Chief
Minister of West Bengal and the case of Aseem Trivedi who was charged with
sedition for demeaning the national symbols, exposes the ‘psychological reactance’
and show how politicians as well as the Government are vigilant about the way
political cartoons build image and memory.
The model (Fig. 1) unravels the key terms and the focus of the paper. Within the
circumference of political iconography, the study looks at the interaction between
the cartoonist, conceptual metaphor and the public through political cartoons. The
study attempts to prove that the directionality of metaphors is based on the car-
toonist’s inclination and though conceptual metaphors are universal; there is an
influence of the context in framing as well as receiving them. Through the process
of ideation (creative process), the cartoonist comes up with a metaphor (stage of
metaphor application) which can be either ‘revolutionary’ or ‘symbiotic’.6
6
Graham and Bachmann describe various types of ideation in their book Ideation: The Birth and
Death of Ideas (2004) pp. 44–47.
Revolutionary ideas attempt to subvert the conventional notions while symbiotic

ideas are mutually benefitting. Depending on these ideas, metaphors can either be
positive or negative. People receive them (metaphor activation) in different ways
depending on the environment that surrounds them. In this particular study,
respondents from different states differ in their reception as they relate differently to
the issue.
4 Historical Background
Post-independent India had to face the challenge of consolidating itself as a nation

state. The British Provinces presented a non-cohesive India which undermined her
cultural affinity (Chandra, Mukherjee, & Mukherjee, 2008). Language, the binding
cement of culture, was the principal element for states’ reorganisation. In 1921, the
Indian National Congress proposed the policy of linguistic states and a recasting
according to regional languages. Post-partition, leaders debated the demand for
linguistic states; as a result, a committee under Justice S. K. Dar was formed in
1948. The recommendations of the committee considered the demand as a threat to
national unity. The JVP committee (1949) led by Jawahar Lal Nehru, Sardar Patel
and Pattabhi Sitaramayya reinvestigated the issue and proposed to postpone the
reorganisation of linguistic states; meanwhile, the nation witnessed the Visalandhra
(the United Andhra) movement. The death of Potti Sriramulu who went on a fast
unto death for the cause incited the citizens. Finally, the Government buckled, and
the Andhra state was created in 1953. The State Reorganisation Committee
(SRC) formed in August 1953 which included Justice Fazl Ali, K. M. Panikkar and
Hridaynath Kunzru, submitted the report in October 1955. The recommendations
were passed in November 1956 with a few modifications, and fourteen states were
formed with six territories. Still, the thirst for linguistic states remained unquen-
ched, and Bombay was further divided into Maharashtra and Gujarat. Since then
disputes have continued, and many independent states have been created. From
fourteen states, now India has been reorganised into twenty-nine states.
5 Methodology
To measure the psychological impact of the conceptual metaphors through car-

toons, two groups were studied. The first group included 35 participants among
whom the survey was conducted. They were each given a set of five cartoons along
with the questionnaire which inquired about their feelings towards the cartoons. To
familiarise the students with the political cartoons, a pre-questionnaire presentation
was made, in which the purpose of the study and the historical background were
introduced to the students. The data have been analysed based on frequency dis-
tribution of the responses. Eight research scholars from varying backgrounds, who
are avid newspaper readers, were invited for the focus group discussion. The dis-
cussion lasted for an hour. The following questions, also identified as the objec-
tives, were discussed:
(a) Why does a cartoonist employ metaphors?
(b) How would you rate the veracity of the cartoons presented?
(c) What are the metaphors employed by the cartoonist? How have these meta-
phors added to your knowledge?
(d) Has the author been successful in conveying the message in an unbiased
manner?
(e) Guess the artist’s view about Nehru? How do you relate to Nehru?
(f) Whose perspective do the cartoons present? Substantiate your view.
(g) Can you easily relate to the metaphors? Are the metaphors straightforward or
‘poetic’?
(h) On the whole, how do you rate the directionality of the metaphors?
While the focus group discussion helped in understanding the experiential
gestalt of the group the questionnaire aided in quantifying the psychological impact.
6 Focus Group Discussion—Analysis of Cartoons
To study the behaviour of the audience towards political metaphor, eight research
scholars drawn from the departments of English, Economics and Maths were
invited for the discussion. The group involved three female and five male members.
The age of the members ranged from 26 to 57 and hailed mainly from the states of
Kerala and Tamil Nadu. In the first five minutes of the discussion, members were
introduced to each other, and a preview was given to the discussion. A set of twenty
cartoons were distributed to each member; keeping in mind the fleeting attention
editorial cartoons receive, the members were given around 15 minutes to examine
the cartoons. The questions as mentioned in the methodology were discussed, and
members were put at ease to express their opinions. Majority of the members rated
the metaphorical representation as negative towards the linguistic issue, and it
prompted them to empathise with Nehru. Each cartoon has been analysed in the first
session, and the interpretation has been supported by the views of the members.
Around twenty metaphors were identified in the political cartoons taken from
‘Don’t Spare Me Shankar’ a collection published by Children’s Book Trust. The
publication of the cartoons spanned from 20 June 1948 to 29 October 1961. As one
analyses the common thread running through cartoons, one can easily comprehend
that the cartoons follow a kind of moral dualism. All the cartoons involve only two
characters, Nehru and the linguistic issue. Either Nehru is overpowering (as the
charmer, trickster or the tamer) or the demand for linguist states is cumbersome (as
the fluttering fly, bop bag, Frankenstein, dragon’s teeth, etc.). The cartoonist pre-
sents the situation in a Manichaean binary opposition, where the subject is always
Table 1 Conceptual Conceptual/root metaphors Number of metaphors

metaphors found in the
cartoons Teacher–student 2
Tamer and the tamed 9
Scrounger 2
The recalcitrant 7
in a confrontation between the light and dark, good and bad, self and the other and
strong and weak. Such power dynamics found in the metaphors provide a platform
to judge Nehru. How has Nehru as a leader faced the issue? This power dichotomy,
pivotal in constructing identity and representational politics, can be related to the
colonial masters who schemed to control the colonies through divide and rule. As
Albert Memmi commented, ‘the colonial situation manufactures colonialists, just as
it manufactures the colonised’ (Memmi, 2013, p. 100), colonialism fabricated the
identities of the coloniser and the colonised. The Coloniser and the Colonised
(1957) by Albert Memmi, originally published in French, illustrates the psycho-
logical implications of colonialism. The book has been divided into two: the
‘Portrait of the Coloniser’ and the ‘Portrait of the Colonised’, wherein the author
unravels how the identity of the coloniser as well as the colonised has been con-
structed. The colonised is the ‘humbling’, ‘lazy’, ‘litany of faults and inadequacies’,
‘muscular’ and a ‘hopeless weakling’ (Memmi, 2013). Coloniser on the other hand
is ‘exalting’, strong and ‘legitimate’, as he says ‘whenever the colonizer adds that
the colonized is a wicked, backward person, he thus justifies his police and his
legitimate severity…’ (Memmi, 2013, p. 126). The same dualism follows in the
cartoons too, as they were published during the post-independent era when India
was struggling to unify as a nation and its administration carried traces of colo-
nialism. Inadvertently, the metaphors too have an embedded colonial character. In
Learning the Media (1987), Manuel Alvarado, Robin Gutch and Tana Wollen
proposed four categories of racial stereotypes. They are namely: ‘exotic’, ‘hu-
morous’, ‘dangerous’ and ‘pitied’ (Watson & Hill, 2015). Observing this pattern,
the metaphors can be divided into four types: (a) teacher–student, (b) tamer and the
tamed, (c) scrounger and (d) the recalcitrant. The recalcitrant and scrounger are
direct adaptations of the ‘dangerous’ and the ‘pitied’. Tamer-tamed and teacher–
student are the modified categories. Tamer-tamed is an extended category of the
'dangerous'. The metaphor of teacher–student forwards the colonial model of how a
teacher (Whites) has the duty to guide the unintelligent students (Natives). The
categories of conceptual metaphors are both structural and orientational. Colonial
metaphors in their divisions follow a spatial orientation of high (mother, guide,
white) and low (child, ignorant, dark). The following table enumerates the occur-
rences of metaphors in the collection.
6.1 Teacher–Student
This category comprises of two cartoons. The first cartoon ‘The Hindi Test’ (‘Don’t
Spare Me Shankar’ p. 5) shows Nehru as a stout and the strong-willed teacher who
is burdened with the duty of educating the students (which includes cabinet min-
isters of Nehru from the South) who had failed in the Hindi proficiency test. On the
walls hang the map of India which shows South India as a blank space. This
metaphor of teacher–student stereotypes the non-Hindi community as they have to
be governed and taught by the bureaucrats from the North. While in the second
cartoon ‘Take it From Us’ (‘Don’t Spare Me Shankar’ p. 33), Nehru himself
becomes a student along with other politicians where they are awestruck to see the
Hindi equivalent term for ‘Sovereign Independent Republic’. Among the students,
there are some who are uninterested as they play tic-tac-toe and some of them are
just about to exit as the teacher is deeply immersed in teaching Hindi. The teacher
presented is a Brahmin who again becomes the symbol of Sanskritisation. The
cartoonist himself mocks the situation of declaring Hindi as an official language and
how politicians were unaware of the repercussions as they were, themselves, not
proficient in Hindi as the chosen language for administration.
The focus group discussion members took the teacher–student metaphors to be
offensive as they felt that someone from the North had to come to teach the South
Indian Bureaucrats the idea of national integration which required an official lan-
guage to carry out its administration. As most of the members in the group were
from non-Hindi-speaking regions, they were upset with the presence of superior–
inferior relationship that always existed between the North and the South.
6.2 Tamer and the Tamed
Among the metaphors employed, the most common is the tamer and the tamed. In
the cartoon, ‘The Charmer and the Charmed’ (‘Don’t Spare Me Shankar’ p. 111),
Nehru is the charmer, and the states are the poisonous snakes. While the rest of the
snakes have been charmed, the one left is the Telugu state. In ‘Coaxing the Genie
Back’ (‘Don’t Spare Me Shankar’ p. 173) cartoon, Nehru is the magician, who is
tricking the ‘genie of linguism’ into an urn. The urn represents the State
Reorganisation Committee, which tries to trap the linguistic monster. Here again,
Nehru is in an attempt to tame the monster. In the next cartoon (‘Don’t Spare Me
Shankar’ p. 175), Nehru tries to tame the tiger, which represents the State
Reorganisation Committee, presenting his dilemma, as the committee which like
the tiger turns against him. The ‘Deeper and Deeper’ (‘Don’t Spare Me Shankar’
p. 189) cartoon portrays Nehru and Govind Ballabh Pant going deep into a pond as
they relentlessly follow the fluttering fly of lingiusm with the flycatcher.
This metaphor of fluttering fly represents the demand for linguistic states as far
fetched which was slowly entrapping the politicians into a muddled administration.
Again, linguism is the biting dog, in the cartoon ‘The Pet I Bought’ (‘Don’t Spare
Me Shankar’ p. 293), which has turned against its own master. The cartoon titled
‘The Age of Chivalry is Here Again’ (‘Don’t Spare Me Shankar’ p. 294), Nehru is
shown as the brave knight, set out on a quest for rescuing the Damsel (Assam) by
killing the dragon (Language War). This metaphorical representation heralded the
Bengali language movement in Assam which ushered a bloody historical chapter.
The ‘Parlour Game’ (‘Don’t Spare Me Shankar’ p. 320) reverses the tamer-tamed
metaphor, as Nehru himself becomes the prey. Mr. Nehru is shown as a butterfly
caught in a cobweb, surrounded by spiders (languages), all ready to feed on him.
‘Parlour game’ suggests the infinite play (the challenge of linguism) using logic till
the players (the states) decide to end the game. In the next cartoon (pg. 321), Nehru
is addressed as the tamer, walking audaciously with the whip into the cage with
animals like Lion (provincialism), tiger (linguism) and cheetah (casteism). Among
the animals, the naughtiest is the tiger bearing a malicious look while the rest look
tired and baffled. The election-year edition (‘Don’t Spare Me Shankar’ p. 330) saw
Nehru as a bullfighter pitted against the enraged bulls of linguism and commu-
nalism. The tamer and the tamed metaphors have pictured Nehru as the brave and
hard-working leader struggling to resolve the problem.
One of the participants recognised that the cartoonist has visualised the
Malayalam idiom ‘Nairu Pidicha Pulivalu’ (The Nair who caught the tiger by the
tail) which presents Nehru’s dilemma as he gets hold off an unmanageable issue.
The group also identified the metaphors to be portraying the identity politics of
India, especially, in the cartoon where the animals represent casteism, communal-
ism, provincialism and linguism. Throughout the discussion, the members felt that
the cartoonist is against the linguistic issue and has given a flippant representation,
even that of a fly. The tamer and the tamed metaphor, though portrays Nehru as a
potential leader, it also insinuates that the ones to be tamed, are the ones, who are
violent and unbridled; also they are the fools who can easily be tricked by their
masters. This again follows a colonial subtext.
6.3 Scrounger
There are two major cartoons employing the metaphor of begging and the
impoverished. In the first cartoon (‘Don’t Spare Me Shankar’ p. 24), the
non-Hindi-speaking community is represented as an impoverished man carrying his
burden like a donkey. This ‘man-donkey’ is ridden by four politicians who are
vehement supporters of Hindi. The cartoon entitled ‘Buying Trouble’ (‘Don’t Spare
Me Shankar’ p. 124) portrays the states as beggars. Mr. Nehru makes an entry into
the cartoon as a strong-willed man. One woman (Andhra) begs, and Nehru walks
off indifferently. The woman cries a lot, and Nehru finally gives her alms.
Following which the rest of the states, characterised as beggars, run after Nehru,
and finally, he exits the panel with a dreadful expression. Here again the depiction
of the states as scroungers reinforces the idea that the states are incapable of
governing themselves, and they are dependent on the centre whose pity they crave.
The members during the discussion were agitated at the rendering of the ‘de-
mographics’ in the cartoons. Citizens and their demand for linguistic states were
targets to be tackled. The images of the crowd as snakes, beggars and the
impoverished man projected the citizens as unthinking, who could be easily
charmed and silenced. The idea of democracy as conveyed through the cartoons is
that of providing minimal allowance to the people, thereby, keeping them at bay;
politicians are rather tricksters who have all the charms to fool the people which
echoes Rudyard Kipling’s, ‘Take up the White Man’s burden, The savage wars of
peace-Fill full the mouth of Famine’ (qtd. in Spielvogel, 2009, p. 521). The agi-
tation of the group points to the presence of such power dynamics.
6.4 The Recalcitrant
Under this category, a collection of seven cartoons portrays the uncooperative

attitude of the people. The ‘Cheap Housing’ (‘Don’t Spare Me Shankar’ p. 131)
cartoon uses a positive metaphor as Nehru is shown as the architect of
post-independent India, struggling to consolidate the nation. On the one hand,
Nehru builds a single building representing national unity; on the other hand,
politicians construct their own rooms (signifying the linguistic states). In ‘dragon’s
teeth’ (‘Don’t Spare Me Shankar’ p. 163), Shankar metaphorises the idea of lin-
guism as the dragon’s teeth, referring to the Greek myth of how the dragon’s teeth
were sowed to reap armed warriors out of them. Cadmus after slaying the dragon
buried the teeth from which Spartoi (the clan of valiant soldiers) arose. Similarly,
the idea of linguistic states is also seen as one that manifested fearful soldiers. In the
cartoon, ‘Cause and Effect’ (‘Don’t Spare Me Shankar’ p. 178), the linguistic states
are illustrated as an ‘alcoholic’. On the one side, Nehru distributes the potion of
linguistic idea, and on the other side, people go berserk as they become addicted
and begin attacking each other. In the cartoon titled ‘Tug of War’ (‘Don’t Spare Me
Shankar’ p. 229), Nehru is caught between the fat gigantic woman (Hindi) and
the slim and small women (representing other languages). This metaphor implies
the lion’s share Hindi language had attained in India as it was accepted by many
as the national language. In the ‘Frankenstein’ cartoon (‘Don’t Spare Me Shankar’
p. 296), the monster strangles a woman who symbolises the unity of India echoing
how the monster turned against his master. This context portrays the Congress’s
demand for linguistic states as a monster with no conscience that went on a killing
spree. The cartoon where linguistic states are bop bags (‘Don’t Spare Me Shankar’
p. 317), knocks Nehru hard making him extremely tired. The final cartoon (‘Don’t
Spare Me Shankar’ p. 333) in the collection metaphorises the issue of Hindi versus
other languages. Hindi again is symbolised as a virtuous domestic woman while
Urdu, a minor language, is the new alluring woman.
Examining the recalcitrant metaphor, some of the cartoons reinforce stereotypes.

The cartoons where Hindi is shown as the fat lady/housewife, unity of India as a
woman and Assam as a damsel, give the linguistic issue a feminine representation
and convey the thought that the problem has to be suppressed just like women who
are, in a patriarchal society, both dominated by as well as protected by the men. The
states represented as addicts and as bop bag and Frankenstein portray them as
monsters. The metaphors, on the whole, also manifest the need for power to govern
and navigate the problem. The group members also felt that the metaphorical
representations of the states were quite stereotypical. The metaphors for recalci-
trance were powerful enough to foment the historical struggles of the states against
declaring Hindi as the national language. From the discussion, there was a slight
deviation to a debating platform. This, in turn, validated the rhetoric of metaphors
and emphasised how the members could connect to the issue of forcing the states to
have Hindi inscription on milestones on the highway. Majority of the members
agreed that the metaphors manifested Nehru’s views, neglecting the crowd’s.
The group members unanimously concluded that images of Nehru kept varying
but could fall into two categories: one, that of being pathetic (emotional-helpless)
and, the other, being a fighter (manager “Iron fists of Nehru”). They discussed the
question as to who the real Nehru was. Is he just the poor guy desperate to hold on
to the nation or the ‘drill master’ or the ‘charmer’? Thus, three shades of Nehru as
charismatic, dogmatic and melancholic have been represented by the cartoonist.
Some of the metaphorical representations like that of bop bag were elitist in nature.
Even without the context, metaphors taken from nature were more comprehensible.
The members agreed that the cartoonist’s representations were also binary in nature
and had satirised the non-Hindi-speaking community. They also recognised that
initially, the representations of the cartoonist towards the issue were dismissive.
Most of the members experienced the metaphors to be negative and that the car-
toonist had given a biased representation which was disappointing to them. But they
also had a consensus that a context is needed to understand the cartoons. One of the
members expressed her concern that a difference existed in the way people received
the cartoons then from the way it is received now; moreover, the context played an
important role in comprehending the metaphors. The rest of the members agreed to
the fact that metaphors have a universal and communicative function making the
effect long lasting and, thus, one could consider the need to study metaphors on
how they have constructed the past of India.
7 Quantitative Analysis
A survey among 35 students was conducted. A set of five cartoons along with the
questionnaire containing fifteen questions were distributed to measure the psy-
chological impact and reception by the audience. A pre-questionnaire presentation
was conducted to acquaint the students with the purpose of the survey, the concept
of conceptual metaphors and the basis of selection of the cartoons. Questions were
mainly divided into three parts: those dealing with the essentiality of metaphors,
then, perception regarding metaphors and finally, what the group felt when they
perused the cartoons. The class comprised of 6 girls and 29 boys between 18 and
21 years and were from different states including Tamil Nadu, Kerala, Telangana,
Rajasthan, Maharashtra, Uttarakhand, Andhra Pradesh, Assam, West Bengal,
Pondicherry and New Delhi. Students were allotted 30 minutes to analyse the
cartoons and respond. The data collected was skewed and checked for its reliability
using Statistical Package for Social Sciences (SPSS). Later, it was analysed using
three tools namely: frequencies, correlation and one-way ANOVA.
The key insights considering frequency responses are as follows:
(a) 85.7% (Almost Agree 42.9%, Agree 25.7% and Strongly Agree 17.1%) of the
students supported the statement that metaphors are essential in political car-
toons while 2.9% remained neutral. None of the respondents disagreed with the
statement.
(b) 68.6% (Almost Agree 34.3% and Agree 34.3%) of them accepted that meta-
phors help them in grasping the situation while 2.9% remained inconclusive.
On the whole, none of them disagreed that metaphors help in comprehension.
(c) 60.6% of them could relate to the metaphors. 14.3% responses were
inconclusive.
(d) Though 11.4% disagreed with the statement, the majority (82.8%) of them also
supported the fact that metaphors help in shaping their opinions.
(e) The question ‘are the metaphors used in the cartoons ordinary?’ had varied
responses and 57.1% of them agreed, and 20% also disagreed with it. 17.1%
could not decide. In the graphical representation, the relation to the metaphors
and identification of metaphors as ordinary, overlap each other and justifies that
majority of them could relate to the metaphors as they were recognisable. As
the metaphors were conceptual, the audience could equate with the structures
easily.
(f) Most of them (57.2%) also conceded that an understanding of the context is
essential to grasp the metaphors in political cartoons. Out of which 22.9%
strongly agreed with it. Around 23% also disagreed that there was a need for a
context to understand the metaphors.
The graphical representation (Fig. 2) given below has recorded the percentage of
responses to the questions regarding the metaphors in general.
(g) 51.5% disagreed (disagree moderately 22.9%, strongly disagree 11.4%) to the
statement that the cartoonist has given an unbiased representation and 9%
remained inconclusive. Around 40% stated that the presentation is unbiased,
but majority received it as a biased presentation.
(h) When asked whether Mr. Nehru was targeted through the cartoons, 82.8% of
them agreed to it and out of which 25.7% strongly felt that Nehru was being
targeted through the cartoons. 2.9% remained indecisive, and very few
disagreed.
45%
Do we need metaphors
40% in poliƟcal cartoons?
35%
Do the metaphors help
30% you in grasping the
situaƟon?
25%
Can you relate to the
20% metaphors?
15%
Do they give you new
insights and help in
10%
forming an opinion of
your own?
5%
Are the metaphors
used in the cartoons
0% ordinary?
Do you need a preview

to the context to
understand the
metaphors?
Fig. 2 Metaphors in general
(i) 22.9% of them remained neutral to the question whether they could empathise
with Nehru. Around 42.9% could sympathise with him, out of which 14.3%
almost agreed to it. 34.3% disagreed and did not feel any kind of empathy
towards Nehru. This response shows the iconographic value of metaphors
which invokes empathy even as it provokes readers against Nehru.
(j) 68.5% of them conceded that the use of metaphors can exaggerate the factual
knowledge, out of which 14.3% agreed moderately and 25.7% almost agreed.
14.3% could not decide, and a few (17.1%) disagreed with the statement.
The graph below represents the responses of the audience towards the metaphors
present in the cartoons (Fig. 3).
(k) Among the questions that measured the feeling of the audience, the first one
inquired about the artist’s attitude towards the system; the majority (62.9%) of
them felt the artist’s attitude to be negative. This correlates with the statements
30%
25%
20%
15% Unbiased
10% representaƟon
Nehru is the Target
5%
0% Empathy with Nehru

Neither Disagree nor Agree
Agree Moderately
Strongly Disagree
Almost Disagree
Slightly Disagree
Almost Agree
Strongly Agree
Slightly Agree
Disgree
Disagree Moderately
Agree
ExaggeraƟon of
Facts
Fig. 3 Perception of metaphors
of FGD members who identified the cartoonist to give a negative representation

of the linguistic issue.
(l) Regarding the directionality of the metaphors, 57.2% felt it is negative. 14.3%
remained indeterminate, and 28.6% admitted it to be positive. This again shows
the relation between the cartoonist’s ideation which can be either revolutionary
or symbiotic. Depending on the inclination and ideation, the metaphors turn out
to be positive or negative.
(m) 45.7% of the students felt a positive impact from the metaphors, and 37.2% had
a negative feeling. 17.1% were ambiguous in their opinion. A mixed reaction
proves the role of context in deciding the impact and the shaping of public
opinion.
(n) To the question whether metaphors made them feel hurt or angry, the same
majority (45.7%) who felt positive impact have remained neutral. In fact, one
among them also commented that he was amused by the use of metaphors in
the cartoons. But 40% were angry at some of the metaphors, and some of them
were hurt by the metaphor’s presence. This evinces the potentiality of meta-
phors to give a productive reception which makes the audience react as well as
think (Fig. 4).
Using correlation tool, a bivariance analysis of the data was conducted. The
results showed that the artist’s attitude towards the system had a significant
relation in determining the directionality (p = 0.048) and impact (p = 0.006)
of metaphors. The need for context was also significantly correlated with the artist’s
attitude (p = 0.016) and impact of metaphors (p = 0.037). When variables were
40%
Emotional impact 46%
14%
37%
Impact on reader 17%
46%
57%
Directionality of Metaphors 14%
29%
63%
Artist's Attitude 11%
26%
0% 10% 20% 30% 40% 50% 60% 70%

Artist's Directionality Impact on Emotional
Attitude of Metaphors reader impact
Negative 63% 57% 37% 40%
Neutral 11% 14% 17% 46%
Positive 26% 29% 46% 14%
Fig. 4 Comparison of psychological impact
evaluated with the ANOVA tool, it revealed how there is a difference among the
different states with respect to the emotional impact of metaphors (p = 0.005).
The ANOVA analysis, thus, demonstrates how the impact of metaphors varies as
the states differ.
From the above study, one can conclude that metaphors are essential in political
discourse because they help in comprehending a situation. Though majority of the
respondents were from different background and generation, they were able to
relate to the metaphors. They also agreed that metaphors play a significant role in
shaping opinion; and justifying the argument that metaphors are critical to building
political iconography. Most of them considered the metaphors given as familiar
because of which they could relate to them, proving the argument that conceptual
metaphors are universal. But a majority of them also admitted that to understand
metaphors in political cartoons contextual knowledge is a prerequisite. This also
points to the fact that in the study of political iconography, understanding situations
and contexts is necessary to decode the images. In general, the group felt that the
cartoonist has given a biased representation, making them empathise with Nehru
which demonstrates how metaphors build a political icon and memory. The audi-
ence response also validates the statement that employing metaphors can exaggerate
the factual knowledge, which again hints at the power of conceptual metaphors to
create a reality of their own. Most of them felt that the artist’s attitude towards the
system is negative and has used negative metaphors. This in turn has a negative
influence on the audience reception. 40% of them ended up feeling agitated as the
artist had been successful in provoking the reader’s minds through the metaphors.
This manifests the psychological potential of metaphors.
8 Colonial Framework of Conceptual Metaphors
As stated earlier, conceptual metaphors become the frames of thinking and plat-
forms for comparison. The way a metaphor forms depends on experiential gestalt as
one brings comparisons by linking situations with the objects one is familiar, this in
turn depends on the context and environment that surround us. Considering this
argument, the pattern delineated from the conceptual metaphors is found to be
colonial. Katherine Mayo’s Mother India (1927) a vituperative book which saw
India’s condition as a festering disease (Teed, 2003) and undeserving of self -rule,
presented India as a parasite that can be governed only by the British Raj. The
metaphor of considering the nation as a disease and the crown as the doctor who
can redress suffering is colonial in the constitution. It shows the colonial master as
the responsible leader whose duty is to ‘civilise’ the savage.
Similarly, the broad division of conceptual metaphors into teacher–student,
tamer and the tamed, scrounger and the recalcitrant is constituted as binaries. This
duality can be traced back to the colonial discourse which provided thinking frames
of dualities: ‘self versus other’; ‘us versus them’; ‘coloniser versus colonised’;
‘mother versus child’; ‘black versus white’; and finally, ‘inferior versus superior’
(Ochoa, 1996, p. 221). As Frantz Fanon remarks in The Wretched of the Earth, ‘the
militant who faces the colonialist war machine with the bare minimum of arms
realizes that while he is breaking down colonial oppression he [is] building up
automatically yet another system of exploitation’ (qtd. in Ochoa, 1996, p. 223),
where the new regime having internalised colonial binaries thinks in terms of North
vs. South, centre vs. state and the Hindi vs. non-Hindi. When India achieved
independence a decentralisation happened, which was again followed by a ‘new
system of exploitation … based on the dynamics of revolutionary ideology, which
frequently creates the illusion that the independence movement is now “the one” in
relationship to other political forces within a (former) colony; as the new dominant
centre it has the power to define “others” and to marginalize those who do not
reflect the ideals of the revolution’ (Ochoa, 1996, p. 223). This same thinking
pattern has been presented through the conceptual metaphors in the political car-
toons. The demand for linguistic states was revolutionary in character, and there
were many attempts from the centre to suppress the issue. This explains the
provenance of metaphors of ‘the tamer’ and ‘the tamed’ where the linguistic issue is
shown as an animal (tiger, dog, bull and snake) or a genie that has to be tamed by
Nehru who acts as a trickster, circus master, charmer and the bullfighter. The
conceptual metaphors in the political cartoons execute the colonial function of
hegemonising the divided parts and give them a centripetality. The metaphors also
act as catalysts in internalising the colonial values, such as the centre, that is
working hard to integrate the nation. This is evident in the cartoon where Mr. Nehru
builds a single house while the rest try to build single rooms. Metaphors also
become the tools for hegemony and internalisation of the colonial values which
gradually helps in constructing an image of the political and bureaucratic system.

The negative reception from the audience hints at the recognition of the colonial
frameworks. But the neutral stature of the readers also suggests the impending
power of metaphors which can beguile them.
9 Conclusion
The paper studies the psychological impact of conceptual metaphors in political

cartoons and their role in making political iconography. Through the quantitative
and qualitative analysis, one can come to the conclusion that conceptual metaphors
form an inevitable phase of political iconography and they are successful in gen-
erating emotional responses. There are two stages involved in cognition of meta-
phors. In the stage of metaphorical application, depending on the inclination of the
cartoonist, metaphors may be either revolutionary or symbiotic. The stage of
activation of metaphors happens depending on the context in which they are created
and the environment that surrounds the audience. One concludes that context is a
prerequisite in order to comprehend metaphors in relation to political iconography.
India as a nascent country, immediately after achieving independence, had the
grains of colonial thought deeply embedded in her psyche. The political events are
hence interpreted by the cartoonist in the colonial framework. Years later, the
metaphors ring with the same colonial resonance which generates a negative
reception from the audience. In this particular study, the metaphors used by the
cartoonist were identified to be negative, and the response to them was also neg-
ative proving how psychological reactance is dependent on the directionality of
metaphors. The study of conceptual metaphors on the whole looks at the repre-
sentational politics through language, which is why the study becomes relevant in
the field of political iconography. As this is a pilot study based on the responses of
students, it can be extended to the reading public that receives political iconography
through newspapers. To tap the authentic response, the study must be carried out
among the public who had witnessed a particular issue in its historical frame (in this
case, the demand for linguistic states). A factorial analysis can also be conducted to
analyse which factor contributes the most. Thus, the scope of the study can be
further expanded by reaching out to the public.
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Man-Tak

ISBN 978-981-10-8033-3 ISBN 978-981-10-8034-0 (eBook)

© Springer Nature Singapore Pte Ltd. 2018

Printed on acid-free paper

2017 Singapore Conference on Applied Psychology (SCAP 2017), organized by

East Asia Research (EAR)

North Point, Hong Kong Man-Tak Leung

East Asia Research

Musical Accompaniment as a Factor of Psychological Effectiveness

Re-evaluation of the Factor Structure of Motivations of Marathoners

An Assessment of the Sociocultural Evolution Among Selected Filipino

5 Path Analysis of Paternal Acceptance-Rejection, School Adjustment

Dr. Leung Man-Tak Mike is currently (August, 2017) an Assistant Professor of

Natalia V. Antonova and Vladislav Gorbov

Abstract The purpose is to investigate the influence of three components of the

© Springer Nature Singapore Pte Ltd. 2018 1

1.1 Psychological Effectiveness of Advertising and Its

Psychological effectiveness of advertising is determined by the degree of influence

According to Lebedev, “psychologically effective advertising provides the

1.2 Music and Psychological Effectiveness of Advertising

1.3 Loudness of Music

1.4 Genre of Music

1.5 Music Tempo

memorability of the content of the commercial by respondents, in comparison with

1.6 Popularity of Music

combination. The influence of the dynamic range on the effectiveness of advertising

The purpose is to investigate the influence of three components of the musical

Table 1 Experimental No. of group DR Volume (%) Tempo (%)

commercial, memorability of its content (advertised goods), emotional attitude

Fig. 1 Graph of estimated Estimated marginal means

Table 4 Estimated marginal DR Tempo (%) Mean Standard error

Fig. 2 Graph of estimated Estimated marginal means

Fig. 3 Graphs of the Estimated marginal means

Fig. 4 Graph of the Estimated marginal means

Table 6 Estimated marginal DR Volume Tempo Mean Standard

Knowledge of the commercial has a direct impact on the variables “attention,”

Jasmine B. MacDonald and Rachael Fox

J. B. MacDonald (&) R. Fox

© Springer Nature Singapore Pte Ltd. 2018 21

(PTEs) as a result of their daily work. A review article by MacDonald, Hodgins,

2.1 Methodological Framework

2.2 Participants and Sampling

Sampling Criteria. Participants were required to be over 18 years of age, and to be

telecommunications have resulted in changes in role responsibilities. It was con-

3 Findings and Discussion

Throughout the interviews, camera operators emphasised the importance of their

3.1 Protective Function of Working in a Crew

Participants described a shift that has occurred in TV news production models

2003). Weidman et al. (2008) in particular found that social acknowledgement of

Overall, participants indicated that shared experiences of PTEs or at least the

An interesting ﬁnding was that the aforementioned perceived safety in numbers

Similarly, Keats (2010, p. 44) found that newspaper photojournalists emphasised

crewmember brings unique expertise, and by working together, the story is

The relationship component of this theme was made evident in Cameron’s

In a practical sense, it is understandably questionable that one individual is as

3.2 Protective Function of Working with Experienced

A number of pertinent concerns are embedded within Adam’s response. He was

Overall, it seems that the journalism industry is characterised by a professional

Adam’s response highlights the complexity of the shielding process. Experienced